COVID-19: Finding Us & What the SEC is Doing

How to Find Us

During this unprecedented time, we at Swayze LLC remain fully functional and able to

serve your compliance needs. All employees have complete offices at their respective homes, so they may stay home and still work towards regulatory filings and responding to your questions. This is a direct response to our pre-determined Business Continuity Plan, which allowed us to seamlessly incorporate COVID-19 restrictions into our work lives.

To reach us, you need only dial our telephone numbers, as they ring directly to us. Via email, our typical email addresses are functional, but if you have a quick question or are unsure to whom you should direct your query, please email info@swayzellc.com.

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U.S. Securities and Exchange Commission Advisory

We also wish you to be advised that the U.S. Securities and Exchange Commission is not pulling back on examinations. To the contrary, they have submitted additional COVID-19 request items to examinees already in process. Now is the time to ensure that your Business Continuity Plan incorporates this type of business disruption. You may be functioning well, but your actual documents may not.

As always, please feel free to reach out with any questions or concerns.