Due to a technological error, the Securities and Exchange Commission (SEC) has reopened the public comment periods for 11 rulemaking releases and one request for comment, including projects that may impact retirement industry stakeholders.
According to the SEC’s announcement, the technological error resulted in a number of public comments submitted through the Commission’s internet comment form not being received. Most of the affected comments were submitted in August 2022, but the technological error was found to have occurred as early as June 2021.
To ensure that interested stakeholders and affected commenters are able to comment on the impacted releases and resubmit comments, the Commission is reopening the comment periods for the affected releases from Oct. 7 until 14 days following publication of the reopening release in the Federal Register.
The SEC further advises all commenters who submitted a public comment to one of the affected comment files through the internet comment form between June 2021 and August 2022 to check SEC.gov to determine whether their comment was received and posted. If a comment has not been posted, commenters should resubmit that comment.
The affected Commission releases include the following.
- Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices, Release Nos. 33-11068, 34-94985, IA-6034, IC-34594 (June 17, 2022)
- Request for Comment on Certain Information Providers Acting as Investment Advisers, Release Nos. IA-6050, IC-34618 (June 22, 2022)
- Investment Company Names, Release Nos. 33-11067, 34-94981, IC-34593 (June 17, 2022)
- Special Purpose Acquisition Companies, Shell Companies, and Projections, Release Nos. 33-11048, 34-94546, IC-34549 (May 13, 2022)
- The Enhancement and Standardization of Climate-Related Disclosures for Investors Release Nos. 33-11042, 34-94478 (Apr. 11, 2022)
- Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews, Release No. IA-5955 (Mar. 24, 2022)
- Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure, Release Nos. 33-11038, 34-94382, IC-34529 (Mar. 23, 2022)
- Short Position and Short Activity Reporting by Institutional Investment Managers, Release No. 34-94313 (Mar. 16, 2022); see also Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection, Release No. 34-94314 (Mar. 16, 2022)
- Share Repurchase Disclosure Modernization, Release Nos. 34-93783, IC-34440 (Feb. 15, 2022)
- Money Market Fund Reforms, Release No. IC-34441 (Feb. 8, 2022)
- Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions, Release No. 34-93784 (Feb. 4, 2022)
- Reporting of Securities Loans, Release No. 34-93613 (Dec. 8, 2021)
The SEC further advises that the technological error may have also affected certain comments with respect to self-regulatory organization matters listed in the reopening release. The Commission will evaluate any comments resubmitted with respect to these matters and consider whether further action is warranted.
