Thursday, September 28. 2023
SEC Guides Registrants Concerning Pending Registration Statements and Offering Statements During Potential Government Shutdown
If there should be a government shutdown, beginning October 2nd, a limited number of staff members in the Division of Corporation Finance and Division of Investment Management will be available to respond to inquiries concerning fee calculations and emergency filing relief. Staff in the Division of Corporation Finance and Division of Investment Management will not be available to respond to other questions. Registrants that require assistance in these matters may submit requests and contact information via email to either CFEmergency@sec.gov or IMEmergency@sec.gov.
During a government shutdown, registrants may not contact staff in the Division of Corporation Finance or Division of Investment Management to report a tip or complaint. Instead, registrants should visit sec.gov to utilize the SEC’s online TCR system and complaint form to report concerns.
The SEC reminds that in every situation, responsibility for complete and accurate disclosure remains with the company and others involved in the preparation of a company’s filings.
Source:
Announcement Regarding Pending Registration Statements and Offering Statements (sec.gov)