What about that SEC exam in a shutdown? (ThinkAdvisor)

Even though your SEC may be on hold during the federal government shutdown, the part of the exam process that your firm is responsible for should still continue. Amy Lynch, FrontLine’s Founder and President, states in the lead comments that even during the shutdown the SEC’s systems are still operational. The significance, she continues, is that even though a firm’s exam may be paused, filings and document uploads to SEC portals will still work. Because of that, the SEC will expect firm responses to SEC exam requests and the production of materials to continue. Ms. Lynch advises firms to continue their side of the exam work even though there will be no SEC staff to see the responses submitted. She explains that since meeting the exam deadlines will eventually be noticed by the staff, it will score goodwill with the SEC and the assigned examiners. See ThinkAdvisor, “What Happens to SEC Exams During a Shutdown”