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SEC Monitoring Impact Of Tropical Storm Barry On Capital Markets

Date 12/07/2019

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 miami@sec.gov
  • 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 atlanta@sec.gov
  • 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 dfw@sec.gov
  • 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 by phone at 202-551-6825 or email at imocc@sec.gov
  • Division of Trading and Markets staff can be reached by phone at 202-551-5777 or email at tradingandmarkets@sec.gov
  • Office of Municipal Securities staff can be reached by phone at 202-551-5680 or email at munis@sec.gov

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

Investors should be vigilant for Tropical Storm Barry-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 storm. The SEC is asking investors to report any suspicious solicitations at www.sec.gov/complaint/tipscomplaint.shtml.