Due to the government shutdown, the Division of Investment Management will not be available to respond to any questions about pending matters. Please understand that regulations require us to cease our regular activities and our ability to respond to questions may be limited by those regulations. In case of an emergency, please send an email to IMemergency@sec.gov or call 202-551-6720.

During the shutdown, the Division will not be in a position to act upon any requests for acceleration of the effective date of a pending registration statement or qualification of a pending offering statement until the SEC receives appropriations to fund its operations. Investment companies can continue to make filings on EDGAR during this time. A significant percentage of filings submitted by registered investment companies are in the form of post-effective amendments to registration statements. Many of these filings, pursuant to rules promulgated under the 1933 Act (e.g., Rule 485 for open-end funds), become effective automatically either immediately upon filing or following the passage of a certain number of days. These filings will become effective automatically after the entire time period set forth in the applicable rules until the SEC returns to open and operational status.

A limited number of staff members are available to answer questions relating to fee calculations for filings. If you require assistance in calculating a fee for a filing you will make during the shutdown period, submit your request and contact information to IMEmergency@sec.gov.

We will follow the procedures set forth by the Division of Corporation Finance described here, as applicable, with regard to the acceleration of initial registration statements and other types of filings made by registered investment companies during the federal government shutdown.

Please direct questions about individual filings to Bill Kotapish (202-551-6756) from Dec. 27 – Jan. 4 and Christian Sandoe (202-551-6949) after Jan. 4.

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The work of the Division of Investment Management touches the lives of Main Street investors. We oversee mutual funds and other investment products and services that investors may use to help them buy a home, send kids to college, or prepare for retirement.
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