In light of the federal government undergoing a lapse in appropriations effective October 1, 2013, referred to in the news media as the “government shutdown,” it is important to understand which operations of the SEC will continue and which will be discontinued until the shutdown ends.
Generally, all EDGAR and other filing systems will remain functional, which means that Exchange Act filing deadlines will not be impacted during the shutdown. In addition, SEC staff will remain available to answer questions about fee-bearing EDGAR filings and other emergency questions regarding EDGAR submissions.
However, the SEC will not provide any other non-emergency support to registrants and will not review or approve any of the following: registration statements; applications with respect to new financial products; self-regulatory organization rule changes; effectiveness of registration statements by issuers for securities offerings (including acceleration requests); periodic reports and other filings. The SEC will also not issue non-emergency rulemaking, non-emergency interpretive advice or staff no-action letters and will not process new or pending applications for exemptive relief.
- Partner
Mark Reuter advocates for business clients in transactions, proceedings and conflicts regulated by federal and state securities laws and stock exchange rules. A partner in the firm’s Business Representation & Transaction ...
- Partner
Jim Kennedy practices in the Business Representation & Transactions Group. The focus of his practice is corporate, securities, and financing law, where he has extensive experience in mergers, acquisitions and ...
Topics/Tags
Select- Securities Law
- Securities Regulation
- SEC
- Corporate Transparency Act
- Corporate Law
- Clawback Rules
- Nasdaq
- SEC Enforcement
- Coronavirus
- Cybersecurity and Privacy Law
- Mergers & Acquisitions
- Dodd-Frank
- Tax Planning
- IRS
- Economic Sanctions
- Paycheck Protection Program
- Ohio LLC Act
- Corporate Tax
- JOBS Act
- FAST Act
- Corporate Governance
- Proxy Access Rules
- Securities Litigation
- Consumer Protection Act
- Cybersecurity Regulation
- Crowdfunding
- Cryptocurrency
- Hedging
- Conflict Minerals
- Real Estate Law
- Emerging Growth Companies
- Investors
- Taxation
- Private Offerings
- Pay Ratio Disclosure
- Whistleblower
- Intellectual Property
- Technology
- Opportunity Zone
- LIBOR
- Accredited Investors
- Sales Tax
- United States Supreme Court
- Executive Compensation
- Health Care Act
- Online Trading Platforms
- IPO
- Registration Statement
- Wall Street Reform
- Annual Reports
- Ohio Foreclosure Reform
- Director Compensation
- Family-Controlled Entities
- Gift and Estate Transfers
- Board of Directors
- Director Independence
- Cyber Insurance
- Data Breach
- Regulation A
- Regulation D
- Total Shareholder Return
- Lenders
- Receivership Statute
- Compensation Committee Certification
- CDEs
- CDFI Fund
- Community Development Entities
- Community Development Financial Institutions Fund
- Government Shutdown
- New Markets Tax Credit
- NMTC
- NMTC Financing
- Regulation Fair Disclosure
- Social Media
- Benefits
- Healthcare Reform
- Litigation
- Marketing
- Public Company Transition Rules
- Employment Incentives
- HIRE Act
- Social Security Tax
- Tax Credit
Recent Posts
- FinCEN Extends the Corporate Transparency Act Reporting Deadline for Newly Created Entities
- SEC Postpones Share Repurchase Modernization Disclosure Rules
- Effective Date of SEC Clawback Rule Finally In Sight
- SEC Sued Over Newly Adopted Share Repurchase Rules
- SEC Extends Period to Act on Exchange Clawback Rules
- SEC Charges Public Company for Misleading Non-GAAP Disclosures
- NYSE and Nasdaq Propose Clawback Listing Standards: What You Need to Know
- Corporate Transparency Act Update – FinCEN Issues Notice of Proposed Rulemaking
- SEC Amends Insider Trading Rules: New Conditions, Requirements, and Related Disclosures
- SEC Reopens Comment Period for 11 Proposed Rules Due to Technological Error