Compliance Bulletin: SEC Operations During Government Shutdown

The U.S. Securities and Exchange Commission (“SEC”) has announced that it is operating under its “OPERATIONS PLAN UNDER A LAPSE IN APPROPRIATIONS AND GOVERNMENT SHUTDOWN“.   If an examination has been announced or you are expecting an examination, you may use this time to continue to prepare for your examination.  Once the shutdown has ended, you may want to reach out to your SEC Examiner an seek guidance regarding any changes to the scope and time of your examination.  You can read more about the SEC’s shutdown operation plan here: https://www.sec.gov/files/sec-plan-of-operations-during-lapse-in-appropriations-2018.pdf