On September 29th, the SEC announced that it will be carefully monitoring the effects of Hurricanes Ian and Fiona and welcomes inquiries from individuals with obligations under the federal securities laws that may be impacted by the storms. As the SEC follows the storms’ developments, it will consider easing regulatory requirements for those affected by the storms.
Organizations and investment professionals affected by these storms are encouraged to contact SEC staff with inquiries:
- Division of Examinations staff in the SEC's Miami Regional Office (covers Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico) can be reached at (305) 982-6300 or miami@sec.gov
- Division of Corporation Finance can be reached at (202) 551-3500 or via online submission
- Division of Investment Management staff can be reached at (202) 551-6825 or imocc@sec.gov
- Division of Trading and Markets staff can be reached at (202) 551-5777 or tradingandmarkets@sec.gov
- Office of Municipal Securities staff can be reached at (202) 551-5680 or munis@sec.gov
For individuals having difficulty accessing their securities accounts or with similar issues related to the storms, the SEC’s Office of Investor Education and Advocacy may be contacted by phone at 1-800-SEC-0330 or email at help@sec.gov.
Investors should practice caution concerning Hurricane Ian- and Hurricane Fiona-related securities scams. The SEC reminds investors that background information of anyone offering an investment may be checked by using the easy, no-cost search tool on Investor.gov. The Division of Enforcement will prosecute those who try to defraud storm victims. Investors are encouraged to report suspected securities fraud or wrongdoing on the tips, complaints, and referrals (TCR) system and complaint form on the TCR webpage on sec.gov.
Source:
SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets (sec.gov)
