Client Alert
The Securities and Exchange Commission (“SEC”) has taken several actions to assist funds and advisers in light of the effects of COVID-19. Similarly, the Financial Industry Regulatory Authority (“FINRA”) also has taken several actions to provide guidance and certain regulatory relief to its member firms. Both the SEC and FINRA continue to monitor the effects of COVID-19 and additional relief and guidance may be issued. This client alert summarizes some of these initiatives.

Related Practices

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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