In the event of a federal government shutdown, the SEC will proceed in accordance with its posted plan for operating during a shutdown. Should the shutdown continue beyond Wednesday, December 26, starting Thursday, December 27, the SEC will have a limited number of staff members available. The SEC will be able to respond to emergency situations involving market integrity and investor protection, including law enforcement. Certain SEC systems, including EDGAR, will be operating.
Information Regarding the Division of Corporation Finance
Starting December 27th, a limited number of staff members in the Division of Corporation Finance will be available to answer only questions relating to fee calculations for filings. Generally these staff members will be unable to respond to other questions due to federal law and regulations that require the division to cease regular activities during a federal government shutdown. If you require assistance in calculating a fee for a filing you will make during the shutdown period, submit your request and contact information to CFEmergency@sec.gov.
EDGAR will accept registration statements, offering statements and other filings; however, the Division of Corporation Finance will not be able to declare registration statements effective nor qualify Form 1-A offering statements.
Please visit https://www.sec.gov/page/corpfin-section-landing for more information, including FAQs, about the government shutdown and operations at Division of Corporation Finance.
Information Regarding the Division Investment Management
Starting December 27th, a limited number of staff members in the Division of Investment Management will be available to answer only questions relating to fee calculations for filings. Staff members will not be available to respond to any questions about pending matters due to federal law and regulations that require the division to cease regular activities during a federal government shutdown. If you require assistance in calculating a fee for a filing you will make during the shutdown period, submit your request and contact information to IMEmergency@sec.gov.
Post-effective amendments to registration statements that become effective automatically either immediately upon filing or following the passage of a certain number of days may continue to be filed on EDGAR and will become effective automatically as set forth in the rules. The SEC will not be in a position to review and process any acceleration requests for such filings during the shutdown. Accordingly, those filings will be required to wait the entire time period set forth in the rules until the SEC returns to open and operational status.
Please visit https://www.sec.gov/investment-management for more information, including contact information, about the government shutdown and operations at Division of Investment Management.
Additional Resources:
Operations Plan Under A Lapse In Appropriations And Government Shutdown (www.sec.gov)
