Compliance and Regulatory Alerts | 10-09-25
Alert: SEC Announces Operational Changes During Shutdown
The Securities and Exchange Commission has announced how its divisions are operating during the ongoing federal government shutdown.
According to the SEC’s Division of Examinations, the processing of registrations and all non-emergency examinations and other work has been deferred, and staff are unavailable. A limited number of personnel remain available to address emergency situations involving market integrity and investor protection.
The Division of Trading and Markets has similarly stated that it will not be responding to questions or processing filings during the shutdown, though EDGAR and the Electronic Form Filing System (EFFS) remain functional.
Additional information on the SEC’s operational status is available at sec.gov.
How Bates Group Helps
Bates Group’s compliance specialists assist firms in preparing for and navigating SEC examination and operational challenges. From registration support to compliance readiness and remediation, our team provides guidance designed to help firms maintain regulatory confidence and continuity, even during a government shutdown.
Contact us today to discuss how we can support your firm’s SEC compliance needs.