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What to know about the SEC shutdown

Advisors still need to file their forms on time despite the government shutdown.

By Melanie Waddell | January 02, 2019 at 01:46 PM
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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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Melanie Waddell

Melanie Waddell

Melanie is Washington Bureau Chief, Investment Advisory Group. She also covers regulatory and compliance issues. Her column, The Playing Field, appears in Investment Advisor and on ThinkAdvisor.com, and she also writes the briefing and produces the podcast, Human Capital. Earlier in her career, Melanie covered financial issues at American Banker/Thomson Media publications in Washington and New York. She also wrote freelance articles for Institutional Investor in New York. You can reach her at [email protected]. On twitter: @Think_MelanieW

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