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Office of the Secretary Operating Status

March 24, 2020

Office of the Secretary staff members are currently teleworking. During this period, we continue to conduct normal business functions, and anticipate being able to maintain normal time frames for those functions.  For example, the Office of the Secretary continues to:

  • review all SEC documents submitted to and approved by the Commission, including rulemaking releases, SEC orders, SEC enforcement orders and litigation releases, SRO rulemaking notices and orders, as well as other actions taken by SEC staff pursuant to delegated authority;
  • send official SEC documents and releases of Commission actions to the Federal Register for publication;
  • receive and track documents filed in administrative proceedings and comment letters on rule proposals; and
  • publish on sec.gov notice of scheduled Commission meetings, and notice of official Commission actions, such as rulemaking releases, enforcement actions, notices, orders and other matters.

The Commission also will continue to accept paper filings sent to the Office of the Secretary, although the processing of documents received only via mail may be delayed.  Additionally, paper service of official Commission documents may be delayed. 

Parties to administrative proceedings set before the Commission should, to the extent possible, submit all filings to the Commission by sending them to the Commission electronically at apfilings@sec.gov.[1]  Parties are reminded of their obligation to serve all filings on each party in the proceeding and are encouraged to provide each other with courtesy copies of all filings electronically.  The Commission will continue to post its opinions and orders in such proceedings on the Commission’s website, which the parties are encouraged to review, particularly in any time-sensitive matters. 

Parties to administrative proceedings set before an Administrative Law Judge should contact the Office of Administrative Law Judges with questions, or refer to the OALJ home page on sec.gov.

In addition, following the below guidance would assist SEC staff in processing of submissions: 

  • Appeals pursuant to Rule 430 of the Commission’s Rules of Practice of actions made pursuant to delegated authority may be submitted electronically at Secretarys-Office@sec.gov, clearly indicating “Petition for Review” and the file number in the subject field. 
  • Petitions for rulemaking pursuant to Rule 192 of the Commission’s Rules of Practice may be transmitted to the Office of the Secretary electronically at rule-comments@sec.gov, clearly indicating “Petition for Rulemaking” in the subject field.
  • Hearing requests on applications under the Investment Company Act of 1940 and Investment Advisers Act of 1940 should be submitted by e-mail to Secretarys-Office@sec.gov. For more information, please refer to this Staff Statement from the Division of Investment Management.

For paper-based submissions other than those referenced in this announcement, parties are advised to contact the relevant Division or Office.

 

[1] See In re: Pending Administrative Proceedings, Securities Act Release No. 10767 (Mar. 18, 2020). 

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