TenKay, SEC is in EMERGENCY MODE! "SEC Coronavirus (COVID-19) Response" and they've published how it works! See below... Keep in mind: "The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation."
It may be presumptuous to represent how this emergency suspension will resolve when there is equal weight given to the SEC mission to 'maintain fair, orderly, and efficient markets; and facilitate capital formation.' in this COVID-19 emergency...
"The U.S. Securities and Exchange Commission’s efforts are centered, first and foremost, on the health and safety of our employees and all Americans. We also are focused on, among other things:
...providing prompt, targeted regulatory relief and guidance to issuers, investment advisers and other registrants impacted by COVID-19 to facilitate continuing operations, including in connection with the execution of their business continuity plans (BCPs); and
maintaining our enforcement and investor protection efforts, particularly with regard to the protection of our critical market systems and our most vulnerable investors.
We continue to work in close coordination with other financial regulators and governmental authorities in the United States and globally.
Below is a summary of operational initiatives, market-focused actions, guidance and targeted assistance and relief, investor protection efforts and other work of the agency in response to the effects of COVID-19.
It is not an exhaustive list.
Rather, it provides background and more specific context as to how the SEC is continuing to work with investors and other market participants as it executes its mission during this period of collective, national challenge.
[+]Agency Operations: Transition to Telework and Continuity of Operations [+]Market Monitoring and Engagement with Market Participants [+]Guidance and Targeted Regulatory Assistance and Relief
[-]Enforcement, Examinations and Investor Education
Like the rest of the agency, the Division of Enforcement and the Office of Compliance Inspections and Examinations (OCIE) continue to execute on their mission of protecting investors and remain fully operational. The agency is actively monitoring our markets for frauds, illicit schemes and other misconduct affecting U.S. investors relating to COVID-19—and as circumstances warrant, will issue trading suspensions and use enforcement tools as appropriate[color=red][/color].
On March 23, the Co-Directors of Enforcement released a statement highlighting market participants’ obligations with respect to material non-public information, including importance of maintaining controls and procedures to keep material nonpublic information confidential unless and until it is appropriately disclosed.
The statement emphasizes the need for market participants to be mindful of the prohibitions on illegal securities trading, and to follow related controls and procedures, during times such as these where material nonpublic information may be more prevalent and arise in less common contexts.
The statement also discusses our commitment to Main Street investors and our focus on those who would seek to prey on them in uncertain times.
Those interested can keep track of enforcement actions here at SEC.gov. For example, recent trading suspensions issued in connection with COVID-19 include:
NEW! Predictive Technology Group, Inc. (4/21/2020)
NEW! SpectrumDNA, Inc. (4/21/2020)
NEW! SCWorx Corp. (4/21/2020)
PreCheck Health Services, Inc. (4/16/2020)
Bravatek Solutions, Inc. (4/15/2020)
BioXyTran, Inc. (4/15/2020)
Signpath Pharma, Inc. (4/15/2020)
Applied BioSciences Corp. (4/13/2020)
Arrayit Corporation (4/13/2020)
Solei Systems, Inc. (4/10/2020)
Roadman Investments Corp. (4/10/2020)
Parallax Health Sciences, Inc. (4/10/2020)
Turbo Global Partners, Inc. (4/9/2020)
BioELife Corp. f/k/a/ U.S. Lithium Corp. (4/9/2020)
Key Capital Corporation (4/7/2020)
Prestige Capital Corp. (4/7/2020)
Wellness Matrix Group, Inc. (4/7/2020)
Sandy Steele Unlimited Inc. (4/3/2020)
No Borders, Inc. (4/3/2020)
Praxsyn Corporation (3/25/2020)
Zoom Technologies, Inc. (3/25/2020)
Eastgate Biotech (2/24/2020)
Aethlon Medical, Inc. (2/7/2020)
On March 19 the Commission issued an order in pending Administrative Proceedings to encourage parties to file and serve documents electronically.
*** [Bravatek Solutions @bravatek “As you're undoubtedly aware, BVTK's trading has been suspended recently. The Company was recently asked, on a voluntary basis, to provide answers to questions posed separately by both FINRA and the SEC...] insert-text-here
OCIE remains fully operational nationwide and, with adjustments to take into account health and safety measures, business continuity plans, firm-specific operational matters and other factors, continues to execute on its investor protection mission.
More specifically, in light of health and safety concerns and other circumstances, OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site. OCIE is working with registrants to address the timing of its requests, availability of registrant personnel, and other matters to minimize disruption. OCIE will work with registrants to ensure that its work can be conducted in a manner consistent with maintaining normal operations, and importantly, necessary or appropriate health and safety measures.
OCIE’s statement on its operations and examinations can be found here.
UPDATED The Office of Investor Education and Advocacy continues its work to educate investors while the staff adheres to guidance from our nation’s public health officials. In April, the Office issued an investor alert outlining the types of frauds Main Street investors should be especially wary of during this time. The Office also issued an alert in February to educate investors, “Look Out for Coronavirus-Related Investment Scams.”
[+]Effect on Comment Periods for Certain Pending Actions
Through this period of collective, national challenge, we have remained fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. While the agency is engaging on numerous COVID-19 initiatives as noted above, we also continue our regular agency operations. For example, we have continued to advance rulemaking initiatives, conduct risk-based inspections, bring enforcement actions, and review and comment on issuer and fund filings.
Our staff has been intently focused on continuing to display the level of professionalism and dedication on which our investors and markets have come to rely. We recognize the importance of our mission to America’s investors and our markets and believe it is a privilege to serve.
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