Friday, September 21, 2018

SEC to Offer Assistance Post-Florence

SEC to Offer Assistance Post-Florence

On September 19, 2018, the SEC issued a press release stating that it would provide relief to certain entities affected by Hurricane Florence. The SEC recognizes that the storm and its aftermath have resulted in the loss of property, electricity, and mail service, which affects both individuals and businesses.

Assistance is coming in the form of conditionally exempting affected entities from certain filing requirements, including Section 13 Filings, for periods following the hurricane. The SEC has also extended the filing deadline for certain reports and forms.

While the relief was designed primarily for publicly traded companies, investment companies, accountants, transfer agents, and municipal advisors, it is appropriate for registered investment advisors to be aware of the assistance/filing extensions as this may impact certain filings undertaken by your firm.

To read the full press release please go to Click here

AdvisorAssist Team


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