Newsflash: SEC Provides Regulatory Relief to Entities Affected by Recent Hurricanes

October 10, 2017

The U.S. Securities and Exchange Commission (SEC) on September 28, 2017 announced that the SEC and its staff are providing relief to aid regulatory compliance with certain provisions of the federal securities laws by certain entities affected by Hurricane Harvey, Hurricane Irma and Hurricane Maria. Relief is provided generally for registrants required to make deliveries to security holders whose mailing addresses have ZIP codes for which common carrier mail service has been suspended as a result of the hurricanes. The exemptive relief and interim final temporary rules, and the positions taken by the SEC staff, extend to a broad class of companies, including (among others) registered investment companies and registered investment advisers.

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