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SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets

SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets

SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. While the safety of local residents is the highest priority, the SEC invites inquiries from any person with obligations under the federal securities laws that may be affected by the storms. The staff will evaluate the appropriateness of providing regulatory relief for those as applicable.

  • 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 [email protected].
  • Division of Corporation Finance staff can be reached at 202-551-3500 or via online submission at http://www.sec.gov/forms/corp_fin_interpretive.
  • Division of Investment Management staff can be reached at 202-551-6825 or [email protected].
  • Division of Trading and Markets staff can be reached at 202-551-5777 or [email protected].
  • Office of Municipal Securities staff can be reached at 202-551-5680 or [email protected].

Individuals experiencing problems accessing their securities accounts or with similar questions or concerns relating to the hurricanes are encouraged to contact the SEC’s Office of Investor Education and Advocacy by phone at 1-800-SEC-0330 or email at [email protected].

See related articles: ACFE and Grant Thornton release guide for organizations to manage ESG fraud risks, SEC Charges Tampa-Based Health Insurance Distributor and its Former CEO with Making False Statements to Investors

Investors should be vigilant for Hurricane Ian and Hurricane Fiona-related securities scams and check the background of anyone offering them an investment by using the free and simple search tool on Investor.gov. The Division of Enforcement will vigorously prosecute those who attempt to defraud victims of the storms. The SEC is asking investors to report any suspicious solicitations at http://www.sec.gov/complaint/tipscomplaint.shtml.

Source: U.S. Securities and Exchange Commission


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