Securities Regulation and Corporate Governance


Securities Regulation and Corporate Governance > Posts > Potential SEC Shutdown Coming - Where to Call Should the Lights Go Out
Potential SEC Shutdown Coming - Where to Call Should the Lights Go Out
This morning the SEC posted an update regarding the potential for a government shut-down in the days and weeks ahead providing information on the Commission's operating plan during any such shut-down. 

The post indicates the Commission will remain open for a few days into any government shut-down.  While this news provides a glimmer of hope that registrants with '33 Act filings in progress, or urgent questions on interpretive matters can obtain some guidance from the Staff, the assistance may be short-lived.  Should the SEC eventually shut-down, a list of phone numbers for emergency personnel is provided via the link in the SEC's posting below.

SEC Operating Status

Should there be a federal government shutdown after January 19, the SEC will remain open for a limited number of days, fully staffed and focused on the agency's mission.

Any changes to the SEC's operational status will be announced here. In the event that the SEC does shut down, we will pursue the agency's plan for operating during a shutdown. As that plan contemplates, we are currently making preparations for a potential shutdown with a focus on the market integrity and investor protection components of our mission.

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