Washington D.C., Aug. 30, 2017—
The Securities and Exchange Commission is closely monitoring the impact of Hurricane Harvey on investors and capital markets. Chairman Jay Clayton has mobilized agency resources to assist affected investors and market participants.
“Our thoughts and prayers are with the millions of people in Texas and Louisiana affected by Hurricane Harvey,” said Chairman Clayton. “Agency officials have been and will remain in close communication with market participants and key market infrastructure providers, as well as the Financial Industry Regulatory Authority and other regulators concerning the storm and its aftermath. We are also actively working with firms in affected areas to ensure that investors continue to have access to their securities accounts.”
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 Harvey are encouraged to contact Commission staff with questions and concerns:
- Office of Compliance Inspections and Examinations staff in the Commission’s Fort Worth Regional Office can be reached by phone at 817-978-3821 or email at [email protected],
- 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 email at [email protected],
- Division of Trading and Markets staff can be reached by phone at 202-551-5777 or email at [email protected], and
- Office of Municipal Securities staff can be reached by phone at 202-551-5680 or email at [email protected].
Individuals experiencing problems accessing their securities accounts or with similar questions or concerns relating to the hurricane are encouraged to contact the Commission’s Office of Investor Education and Advocacy by phone at 1-800-SEC-0330 or email at [email protected].
The Division of Enforcement will be vigilant for Hurricane Harvey-related securities scams and will vigorously prosecute those who attempt to take advantage of this tragedy by defrauding victims of the storm. The SEC is asking investors to report any suspicious solicitations at www.sec.gov/complaint/tipscomplaint.shtml.