Washington D.C., Sept. 13, 2017—
The Securities and Exchange Commission is closely monitoring of the impact of Hurricane Irma on investors and capital markets, and continues to monitor the impacts of Hurricane Harvey.
“As we are doing in areas affected by Hurricane Harvey, the SEC will be closely monitoring the effects of Hurricane Irma. We will be making sure investors have access to their securities accounts, evaluating the need to extend deadlines for filings and other regulatory requirements, and keeping a watchful eye for storm-related scams,” said SEC Chairman Jay Clayton. “Our thoughts and prayers continue to be with everyone affected by these terrible storms.”
The SEC Divisions and Offices that oversee companies, accountants, investment advisers, mutual funds, brokerage firms, transfer agents, and other regulated entities and investment professionals will continue to closely track developments. They will evaluate the possibility of granting relief from filing deadlines and other regulatory requirements for those affected by the storms. Until the Commission’s Miami Regional Office reopens, investors and market participants in Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico can contact the Commission’s Atlanta Regional Office. Entities and investment professionals affected by Hurricanes Harvey and Irma are encouraged to contact Commission staff with questions and concerns:
- Office of Compliance Inspections and Examinations staff in the Commission’s Atlanta Regional Office can be reached by phone at 404-842-7600 or email at firstname.lastname@example.org
- Office of Compliance Inspections and Examinations staff in the Commission’s Miami Regional Office can be reached by phone at 305-982-6300 or email at email@example.com
- Office of Compliance Inspections and Examinations staff in the Commission’s Fort Worth Regional Office can be reached by phone at 817-978-3821 or email at firstname.lastname@example.org
- Division of Corporation Finance staff can be reached by phone at 202-551-3500 or via online submission at www.sec.gov/forms/corp_fin_interpretive
- Division of Investment Management staff can be reached by phone at 202-551-6825 or email at email@example.com
- Division of Trading and Markets staff can be reached by phone at 202-551-5777 or email at firstname.lastname@example.org
- Office of Municipal Securities staff can be reached by phone at 202-551-5680 or email at email@example.com
Individuals experiencing problems accessing their securities accounts or with similar questions or concerns relating to the hurricanes are encouraged to contact the Commission’s Office of Investor Education and Advocacy by phone at 1-800-SEC-0330 or email at firstname.lastname@example.org.
The Division of Enforcement will be vigilant for Hurricane Harvey and Irma-related securities scams and will vigorously prosecute those who attempt to defraud victims of the storms. The SEC is asking investors to report any suspicious solicitations at www.sec.gov/complaint/tipscomplaint.shtml. An SEC Investor Alert can be found at: https://investor.gov/additional-resources/news-alerts/alerts-bulletins/investor-alert-be-vigilant-investment-scams.
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