SEC Monitoring Impact of Tropical Storm Barry on Capital Markets

The Securities and Exchange Commission is closely monitoring the impact of Tropical Storm Barry on investors and capital markets. 

“If you are in the path of Tropical Storm Barry, please listen carefully to directions from local officials before, during, and after the storm. Your safety and that of your friends and family should be your top priority during this time,” said Chairman Jay Clayton. “You can be assured that the dedicated staff of the SEC is monitoring the situation and is fully prepared to provide the support needed by affected investors and market participants.”

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 Tropical Storm Barry are encouraged to contact Commission staff with questions and concerns:

Office of Compliance Inspections and Examinations staff in the Commission’s Miami Regional Office can be reached by phone at 305-982-6300 or email at [email protected]
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 [email protected]
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

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