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The impact of the government shutdown is widespread. Here's what you need to know.
While registered investment advisors must press ahead in meeting their Form ADV filing obligations during the government shutdown, the agency’s divisions will be unable to conduct business as usual.
“Firms still can and should make all required filings (ADV or otherwise) with the SEC,” Gail Bernstein, the Investment Adviser Association’s general counsel, told ThinkAdvisor on Wednesday.
“I believe that all statutory and regulatory deadlines must be kept by [SEC] registrants (or applicants),” Berstein said, as noted in the SEC’s operations shutdown plan.
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