Division of Trading and Markets Operating Status
March 20, 2020
The Division of Trading & Markets (the “Division”) is continuing to conduct normal business functions in addition to its engagement in activities in connection with challenges raised by COVID-19. While nearly all Division staff members are currently teleworking, we continue our work, which includes: tracking market activity, monitoring for systems issues or other events that could disrupt the fair and orderly operation of the securities markets, responding to investors’ questions, and reviewing self-regulatory organizations’ proposed rule changes. Division staff also continues to review exemptive requests, requests for no-action relief, and other guidance.
Importantly, the Division is also committed to working with market participants to help them respond to operational and other challenges raised by COVID-19. We are monitoring operational shifts necessitated by the implementation of business continuity plans. Division staff stands ready to assist exchanges, clearing agencies, transfer agents, broker-dealers, and other market participants with operational and other matters.
We are exercising best efforts to maintain normal time frames for reviews and other matters. If you are engaged with the staff on a matter, please keep that staff aware of any changes in your schedule.
The SEC’s EDGAR and EFFS electronic filing system remains operational and continues to accept submission of filings. Staff is available to answer questions regarding EDGAR and EFFS submissions. The electronic filing system for broker-dealers (Web CRD) also continues to operate.
Regulated entities and financial professionals supervised by the Division are encouraged to continue to contact Division staff with questions or concerns, including any need for regulatory relief or guidance. If you are not sure who you should contact about a matter, require general assistance, or are not able to contact a Division staff member about a pending matter, please submit your request for assistance and contact information to firstname.lastname@example.org.