The Securities and Exchange Commission has announced regulatory relief from compliance deadlines for a number of entities affected by Hurricane Michael, including RIAs.
Registered investment advisors with Form ADV filing deadlines falling within the period from Oct. 10 to Nov. 21 will have their deadlines extended if the mailing address listed in their records has a ZIP code where regular mail delivery was suspended due to Hurricane Michael.
They will have until Nov. 23 to file their Forms ADV unless regular mail service resumes before then. If a further extension is needed, the SEC encourages advisors to contact the agency’s Division of Investment Management, Investment Adviser Regulation Office at 202-551-6999 or [email protected]. SEC staff will then address disclosure-related issues on a case-by-case basis.