In response to Hurricane Sandy, the SEC today said it is extending filing deadlines and obligations under federal securities law to November 21 for RIAs, investment companies and brokerage firms that were affected by the devastating storm.
In response to Hurricane Sandy, the SEC today said it is extending filing deadlines and obligations under federal securities law to November 21 for registered investment advisors, investment companies and brokerage firms that were affected by the devastating storm.
The SEC on October 29 posted a notice on its Web site acknowledging that filers may have encounter difficulty making filings. In response SEC staff said it would handle requests for filing date adjustments on a case-by-case basis.
The SEC is preparing filing deadline extensions for anyone who was supposed to file between October 29 and November 20. Besides financial services companies, the new November 21 deadline extension covers publicly traded companies, accountants and transfer agents, among others.