September 30, 2022

Hurricanes Ian & Fiona: Case-By-Case Filing Relief May Be Available

Our thoughts go out to everyone in our community who has been affected this week by severe weather. Yesterday, the SEC announced that the Staff invites questions from anyone with securities law obligations that may be affected by Hurricanes Ian & Fiona. The Staff will evaluate the appropriateness of providing regulatory relief for those as applicable. Here is the applicable contact info:

– Division of Examinations staff in the SEC’s Miami Regional Office (covers Florida, Mississippi, Louisiana, U.S. Virgin Islands, and Puerto Rico) can be reached at 305-982-6300 or

– Division of Corporation Finance staff can be reached at 202-551-3500 or via online submission at

– Division of Investment Management staff can be reached at 202-551-6825 or

– Division of Trading and Markets staff can be reached at 202-551-5777 or

– Office of Municipal Securities staff can be reached at 202-551-5680 or

Individuals experiencing problems accessing their securities accounts or with similar questions or concerns relating to the hurricanes are encouraged to contact the SEC’s Office of Investor Education and Advocacy by phone at 1-800-SEC-0330 or email at The SEC also urged investors to be vigilant of hurricane-related securities scams.

Liz Dunshee