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Wednesday, August 26. 2020

SEC Closely Observing Impact of Hurricane Laura on Capital Markets

On August 26th, the SEC announced that it will be carefully monitoring the effects of Hurricane Laura on investors and capital markets. As the SEC tracks the storm’s developments, it will consider easing regulatory requirements and extending filing deadlines for those affected by the storm.


Organizations and investment professionals affected by Hurricane Laura are encouraged to contact SEC staff with inquiries:

  • Office of Compliance Inspections and Examinations staff in the SEC’s Fort Worth Regional Office (covering Texas, Oklahoma, Arkansas, and Kansas) can be reached at (817) 900-2622 or gandym@sec.gov
  • Office of Compliance Inspections and Examinations staff in the SEC’s Miami Regional Office (covering Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico) can be reached at (305) 982-6300 or miami@sec.gov
  • Division of Corporation Finance staff can be reached at (202) 551-3500 or via online submission at www.sec.gov/forms/corp_fin_interpretive
  • Division of Investment Management staff can be reached at (202) 551-6825 or imocc@sec.gov
  • Division of Trading and Markets staff can be reached at (202) 551-5777 or tradingandmarkets@sec.gov
  • Office of Municipal Securities staff can be reached at (202) 551-5680 or munis@sec.gov

Contact information for other regional offices can be found at https://www.sec.gov/page/sec-regional-offices.


For those having difficulty accessing their securities accounts or with similar issues related to the storm, the SEC’s Office of Investor Education and Advocacy can be contacted by phone at 1-800-SEC-0330 or email at help@sec.gov.


Investors should be cautious concerning Hurricane Laura-related securities scams. As a reminder, the background information of anyone offering an investment can be checked by using the easy, no-cost search tool on Investor.gov. The Division of Enforcement will prosecute those who try to defraud storm victims. Investors are encouraged to report any suspicious propositions at www.sec.gov/complaint/tipscomplaint.shtml.


Sources:

SEC Monitoring Impact of Hurricane Laura on Capital Markets (sec.gov)


Posted by
The Novaworks Team
in Corporation Finance, Investment Management, Investor Education, SEC at 19:03
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