Aggregated News From Investment Management Regulators

SEC Monitoring Impact of Hurricane Laura on Capital Markets

Report/Flag

Please complete the required fields.



Washington D.C., Aug. 26, 2020 —

The Securities and Exchange Commission is closely monitoring the impact of Hurricane Laura on investors and capital markets.

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 storm. Entities and investment professionals affected by Hurricane Laura are encouraged to contact Commission staff with questions and concerns:

  • Office of Compliance Inspections and Examinations staff in the SEC’s Fort Worth Regional Office (covers Texas, Oklahoma, Arkansas, and Kansas) can be reached at 817.900.2622 or [email protected].
  • Office of Compliance Inspections and Examinations staff in the SEC’s Miami Regional Office (covers Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico) can be reached at 305-982-6300 or [email protected]. Contact information for other regional offices can be found at https://www.sec.gov/page/sec-regional-offices.
  • 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 [email protected]
  • Division of Trading and Markets staff can be reached at 202-551-5777 or [email protected]
  • Office of Municipal Securities staff can be reached at 202-551-5680 or [email protected]

Individuals experiencing problems accessing their securities accounts or with similar questions or concerns relating to the hurricane are encouraged to contact the SEC’s Office of Investor Education and Advocacy by phone at 1-800-SEC-0330 or email at [email protected].

Investors should be vigilant for Hurricane Laura-related securities scams and check the background of anyone offering them an investment by using the free and simple search tool on Investor.gov. The Division of Enforcement will vigorously prosecute those who attempt to defraud victims of the storm. The SEC is asking investors to report any suspicious solicitations at www.sec.gov/complaint/tipscomplaint.shtml.

Source link

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

Recent Articles

CVM warns of irregular performance by KOI Global LLC, Ventura Group and Orotrader as securities brokers

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content...

Willers Consulting Group

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

Stanley Associates LLC

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary...

Adjudication order in respect of GKS Reality Private Limited in the matter of Illiquid Stock Options at BSE

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

Adjudication Order in respect of Nikhil Jalan and Sons HUF in the matter of Illiquid Stock Options at BSE

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

Get the latest from Regulatory.News in your inbox!

×