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SEC Guidance on the Government Shutdown
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Recent Contributors to The National Law Review
Below is a non-exhaustive set of considerations for SEC registrants, including public companies, investment advisers and investment companies.
Companies with pending comments from the SEC staff on their filings may respond to those comments, but SEC staff will not reply until normal operations resume.
Form ADVThe IARD system investment advisers use to file Form ADV is operated by a contractor and will remain operational.
Form PFThe PFRD system investment advisers use to file Form PF is operated by a contractor and will remain operational.
After prior shutdowns, the SEC staff has been understanding if filers briefly delayed making a production that was due during a shutdown (provided that it was fully complete by the end of the shutdown).