EDGAR Filing Window Extension for Registered Investment Companies and Business Development Companies

On April 22, 2020, the U.S. Securities and Exchange Commission’s Division of Investment Management (“Staff”) announced that it is extending the EDGAR filing window on April 29, 2020, from 5:30 p.m. to 10:00 p.m. EDT for registered investment company (“RIC”) and business development company (“BDC”) filings.  This extension was instituted to mitigate potential filing delays due to the ongoing impacts of COVID-19.  The Staff stated that a RIC or BDC filing submitted after 5:30 p.m. EDT would normally be considered to be filed the next business day, but instead if it is filed by 10:00 p.m. EDT on April 29, 2020, the SEC will automatically adjust its filing date in EDGAR to reflect April 29, 2020. The SEC will make the adjustment on April 30 or as soon as practicable thereafter. If the filer does not intend to make a filing date adjustment, the filer should notify the SEC at IMEmergency@sec.gov.

The Staff warned that this is only a one-day extension so any RIC or BDC that needs a subsequent filing window extension should submit a request to IMEmergency@sec.gov.  The Staff provided filers with a contact number for questions: EDGAR Filer Support at 202-551-8900, option 3.

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