The Securities and Exchange Commission, in a statement on Friday, said it is “closely monitoring the effects of Hurricane Florence.”
“The SEC is keeping a close eye on the progress of Hurricane Florence and any effects it may have on investors and capital markets,” SEC Chairman Jay Clayton said. “Dedicated staff stand ready to help ensure investors have access to their securities accounts, to evaluate the need to extend deadlines for filings and other regulatory requirements, and to keep a watchful eye for storm-related scams.”
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, the statement says. 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 Florence are encouraged to contact Commission staff with questions and concerns:
The 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;
The Office of Compliance Inspections and Examinations staff in the Commission’s Philadelphia Regional Office can be reached by phone at 215-597-3100 or e-mail at Philadelphia@sec.gov;
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 e-mail at email@example.com;
Division of Trading and Markets staff can be reached by phone at 202-551-5777 or e-mail at firstname.lastname@example.org; and
Office of Municipal Securities staff can be reached by phone at 202-551-5680 or e-mail at email@example.com.
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 e-mail at firstname.lastname@example.org.
“Investors should be vigilant for Hurricane Florence-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,” the Commission said.