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The Orders Library

Name: The COVID Project Orders Library
Creator: The COVID Project

13,511 instruments indexed by The COVID Project: the orders of the fifty States and the District, forty metros, the federal layer and the agencies; the standing duties; the organizers' notices; the legal authorities. Filter by kind, State, limitation type, quarter and more; open the exhibit; download what you find.

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31 instruments · showing 1–25

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Exhibit	Instrument	Issuer	Jurisdiction	Issued	Quarters	Limitations	Grade
Ex. AGY-FED-FINANCIAL-050	Release No. 34-88318, Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules ThereunderOrder Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain…	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 4, 2020	2020 Q2	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-001	Interagency Statement on Pandemic Planning (SR 20-3 / CA 20-2)Interagency Statement on Pandemic Planning	FFIEC (transmitted by Federal Reserve SR 20-3 / CA 20-2, OCC Bulletin 2020-13, FDIC FIL-14-2020)	United States; Federal Financial Institutions Examination Council on behalf of the Federal Reserve Board, FDIC, OCC, NCUA, CFPB and State Liaison Committee (federal interagency)Federal	Mar. 6, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Telework mandateWorkplace rulesOther	Primary source read
Ex. AGY-FED-FINANCIAL-074	FINRA Regulatory Notice 20-08Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief	FINRA	United States; Financial Industry Regulatory Authority (self-regulatory organization registered under Exchange Act § 15A, 15 U.S.C. § 78o-3, subject to SEC oversight)Sector regulator	Mar. 9, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Telework mandateWorkplace rulesOther	Primary source read
Ex. AGY-FED-FINANCIAL-030	Letter to Federal Credit Unions 20-FCU-02NCUA Actions Related to COVID-19 - Annual Meeting Flexibility	NCUA Chairman Rodney E. Hood	United States; National Credit Union Administration (federal)Federal	Mar. 1, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-051	Investment Company Act Release No. 33817, Order Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus DeliveryOrder Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement…	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 13, 2020	2020 Q2	Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-052	Investment Advisers Act Release No. 5463, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules ThereunderOrder Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 13, 2020	2020 Q2	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-053	Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns (issued March 13, 2020; updated April 7, 2020; further updated January 19, 2022)Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns	SEC Division of Corporation Finance	United States; Securities and Exchange Commission, Division of Corporation Finance (federal staff guidance)Federal	Mar. 13, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-057	Investment Company Act Release No. 33824, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus DeliveryOrder Under Section 6(c) and Section 38(a) of the Investment Company Act Granting Exemptions from Specified Provisions and Commission…	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 25, 2020	2020 Q22020 Q3	Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-058	Investment Advisers Act Release No. 5469, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules ThereunderOrder Under Section 206A of the Investment Advisers Act Granting Exemptions from Specified Provisions and Certain Rules Thereunder	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 25, 2020	2020 Q22020 Q3	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-064	Investment Company Act Release No. 33897, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder [In-Person Board Relief]Order Extending the In-Person Board Meeting Relief for Registered Management Investment Companies and Business Development Companies	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	June 19, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-029	Letter to Credit Unions 20-CU-02NCUA Actions Related to COVID-19	NCUA Chairman Rodney E. Hood	United States; National Credit Union Administration (federal)Federal	Mar. 1, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Business closureGathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-032	Letter to Credit Unions 20-CU-05Offsite Examination and Supervision Approach	NCUA	United States; National Credit Union Administration (federal)Federal	Mar. 1, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-054	Release No. 34-88448, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons]Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 20, 2020	2020 Q2	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-067	CFTC Staff Letter No. 20-02 (No-Action)No-Action Positions for Certain Members of Designated Contract Markets and Swap Execution Facilities to Facilitate Physical Separation in…	CFTC Division of Swap Dealer and Intermediary Oversight (Director Joshua B. Sterling) and Division of Market Oversight	United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal	Mar. 17, 2020	2020 Q22020 Q32020 Q42021 Q1	Telework mandateWorkplace rulesOther	Primary source read
Ex. AGY-FED-FINANCIAL-068	CFTC Staff Letter No. 20-03 (No-Action)Temporary Relief for Futures Commission Merchants and Introducing Brokers to Facilitate Physical Separation in Derivatives Industry Response…	CFTC Division of Swap Dealer and Intermediary Oversight	United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal	Mar. 17, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q2	Telework mandateWorkplace rulesOther	Primary source read
Ex. AGY-FED-FINANCIAL-069	CFTC Staff Letter No. 20-06 (No-Action)No-Action Positions for Swap Dealers to Facilitate Physical Separation in Derivatives Industry Response to COVID-19	CFTC Division of Swap Dealer and Intermediary Oversight	United States; Commodity Futures Trading Commission, Division of Swap Dealer and Intermediary Oversight (federal staff no-action letter)Federal	Mar. 17, 2020	2020 Q22020 Q32020 Q42021 Q1	Telework mandateWorkplace rulesOther	Primary source read
Ex. AGY-FED-FINANCIAL-011	Board statement of March 24, 2020 on supervisory approach (with SR 20-6 examination adjustments)Federal Reserve provides additional information to financial institutions on how its supervisory approach is adjusting in light of the…	Board of Governors of the Federal Reserve System	United States; Board of Governors of the Federal Reserve System (federal)Federal	Mar. 24, 2020	2020 Q2	Context (guidance or announcement)Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-056	Release No. 34-88465, Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public CompaniesOrder Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for…	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	Mar. 25, 2020	2020 Q22020 Q3	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-043	Letter to Credit Unions 20-CU-17Update to Offsite Examination and Supervision Approach	NCUA	United States; National Credit Union Administration (federal)Federal	May 1, 2020	2020 Q22020 Q3	Context (guidance or announcement)Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-019	OCC Bulletin 2020-51Corporate Governance: Annual Meetings and the COVID-19 Emergency	Office of the Comptroller of the Currency	United States; Office of the Comptroller of the Currency (federal)Federal	May 12, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-020	Interim final rule, Director, Shareholder, and Member Meetings, 85 Fed. Reg. 31943 (May 28, 2020) (RIN 1557-AE94); technical correction 85 Fed. Reg. 35373 (June 10, 2020)Director, Shareholder, and Member Meetings	Office of the Comptroller of the Currency	United States; Office of the Comptroller of the Currency (federal)Federal	May 28, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Gathering capOther	Primary source read
Ex. AGY-FED-FINANCIAL-075	FINRA Regulatory Notice 20-16FINRA Shares Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic	FINRA	United States; Financial Industry Regulatory Authority (self-regulatory organization)Sector regulator	May 28, 2020	2020 Q22020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-062	Release No. 34-88960, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons]Extension of Conditional Exemptive Order: Relief for Registered Transfer Agents and Certain Other Persons Affected by COVID-19	Securities and Exchange Commission	United States; Securities and Exchange Commission (federal)Federal	May 27, 2020	2020 Q2	Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-021	Board announcement of June 15, 2020 resuming examination activitiesFederal Reserve Board announces it will resume examination activities for all banks, after previously announcing a reduced focus on exam…	Board of Governors of the Federal Reserve System	United States; Board of Governors of the Federal Reserve System (federal)Federal	June 15, 2020	2020 Q22020 Q3	Context (guidance or announcement)Telework mandateOther	Primary source read
Ex. AGY-FED-FINANCIAL-046	Letter to Credit Unions 20-CU-20Phased Approach to On-site Operations	NCUA	United States; National Credit Union Administration (federal)Federal	June 1, 2020	2020 Q32020 Q42021 Q12021 Q22021 Q3	Context (guidance or announcement)Telework mandateOther	Primary source read

Securities and Exchange Commission, Release No. 34-88318, Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder (Mar. 4, 2020) (Ex. AGY-FED-FINANCIAL-050)
FFIEC (transmitted by Federal Reserve SR 20-3 / CA 20-2, OCC Bulletin 2020-13, FDIC FIL-14-2020), Interagency Statement on Pandemic Planning (SR 20-3 / CA 20-2) (Mar. 6, 2020) (Ex. AGY-FED-FINANCIAL-001)
FINRA, FINRA Regulatory Notice 20-08 (Mar. 9, 2020) (Ex. AGY-FED-FINANCIAL-074)
NCUA Chairman Rodney E. Hood, Letter to Federal Credit Unions 20-FCU-02 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-030)
Securities and Exchange Commission, Investment Company Act Release No. 33817, Order Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-051)
Securities and Exchange Commission, Investment Advisers Act Release No. 5463, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-052)
SEC Division of Corporation Finance, Staff Guidance for Conducting Shareholder Meetings in Light of COVID-19 Concerns (issued March 13, 2020; updated April 7, 2020; further updated January 19, 2022) (Mar. 13, 2020) (Ex. AGY-FED-FINANCIAL-053)
Securities and Exchange Commission, Investment Company Act Release No. 33824, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-057)
Securities and Exchange Commission, Investment Advisers Act Release No. 5469, Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions from Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-058)
Securities and Exchange Commission, Investment Company Act Release No. 33897, Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder [In-Person Board Relief] (June 19, 2020) (Ex. AGY-FED-FINANCIAL-064)
NCUA Chairman Rodney E. Hood, Letter to Credit Unions 20-CU-02 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-029)
NCUA, Letter to Credit Unions 20-CU-05 (Mar. 1, 2020) (Ex. AGY-FED-FINANCIAL-032)
Securities and Exchange Commission, Release No. 34-88448, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons] (Mar. 20, 2020) (Ex. AGY-FED-FINANCIAL-054)
CFTC Division of Swap Dealer and Intermediary Oversight (Director Joshua B. Sterling) and Division of Market Oversight, CFTC Staff Letter No. 20-02 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-067)
CFTC Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No. 20-03 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-068)
CFTC Division of Swap Dealer and Intermediary Oversight, CFTC Staff Letter No. 20-06 (No-Action) (Mar. 17, 2020) (Ex. AGY-FED-FINANCIAL-069)
Board of Governors of the Federal Reserve System, Board statement of March 24, 2020 on supervisory approach (with SR 20-6 examination adjustments) (Mar. 24, 2020) (Ex. AGY-FED-FINANCIAL-011)
Securities and Exchange Commission, Release No. 34-88465, Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies (Mar. 25, 2020) (Ex. AGY-FED-FINANCIAL-056)
NCUA, Letter to Credit Unions 20-CU-17 (May 1, 2020) (Ex. AGY-FED-FINANCIAL-043)
Office of the Comptroller of the Currency, OCC Bulletin 2020-51 (May 12, 2020) (Ex. AGY-FED-FINANCIAL-019)
Office of the Comptroller of the Currency, Interim final rule, Director, Shareholder, and Member Meetings, 85 Fed. Reg. 31943 (May 28, 2020) (RIN 1557-AE94); technical correction 85 Fed. Reg. 35373 (June 10, 2020) (Ex. AGY-FED-FINANCIAL-020)
FINRA, FINRA Regulatory Notice 20-16 (May 28, 2020) (Ex. AGY-FED-FINANCIAL-075)
Securities and Exchange Commission, Release No. 34-88960, Order Under Sections 17A and 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder [for Registered Transfer Agents and Certain Other Persons] (May 27, 2020) (Ex. AGY-FED-FINANCIAL-062)
Board of Governors of the Federal Reserve System, Board announcement of June 15, 2020 resuming examination activities (Ex. AGY-FED-FINANCIAL-021)
NCUA, Letter to Credit Unions 20-CU-20 (June 1, 2020) (Ex. AGY-FED-FINANCIAL-046)

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