SEC's Office of the Secretary Encourages Firms to File Electronically

[32331]

March 27, 2020 TO: ICI Members
Investment Company Directors SUBJECTS: Closed-End Funds
Compliance
Exchange-Traded Funds (ETFs)
Fund Accounting & Financial Reporting
Fund Governance
Money Market Funds
Operations
Transfer Agency
Unit Investment Trusts (UITs) RE: SEC's Office of the Secretary Encourages Firms to File Electronically

 

The SEC’s Office of the Secretary announced that it is currently operating under teleworking arrangement but continues to conduct normal business functions.[1]  The Secretary encourages filings to be submitted electronically instead of via paper submission.  This will facilitate continuing the normal time frames for processing and reviewing filings.

The announcement also notes that paper submissions sent to the Secretary will be accepted but their processing may be delayed.  Finally, the Secretary advises parties that file paper submissions with the Commission to contact the relevant SEC division or office. 

 

Nhan Nguyen
Counsel, Securities Regulation

 

endnotes

[1] SEC Office of the Secretary Operating Status (as of Mar. 27, 2010), https://www.sec.gov/os/os-operating-status.