SEC and the Freedom of Information Act

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					SEC and the Freedom of Information Act                                                                              7/31/10 8:25 PM

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                                 SEC FOIA/PA Program
                                 The Freedom of Information & Privacy Act Office:
                                 What It Is, What It Does
   About the SEC
                                 A Message from the Chairman:
   Filings & Forms
   Regulatory Actions            Providing access to information that investors need to make informed
   Staff Interps                 investment decisions is one of the SEC’s strategic goals. Each year, we
                                 receive thousands of requests under the Freedom of Information Act
   Investor Info
                                 (FOIA) relating to almost every aspect of the Commission’s work.
   News & Statements
                                 I am committed to strengthening our FOIA program so that we respond
                                 to requests in a timely manner, treat all requesters equally, and provide
   Information for...            as much information as possible without adversely affecting our mission.
   Divisions                     Success in this area will also support our other strategic goals of fostering
                                 and enforcing compliance with the Federal securities laws, and
                                 establishing an effective regulatory environment.

                                 We realize that the public’s interest about our work is at an all-time high.
                                 I have directed SEC employees to seize this opportunity to illustrate the
                                 dedication and effort that they put forth every day on behalf of investors
                                 and the American public.

                                 If you have any questions about the Commission’s FOIA program, please
                                 contact one of the FOIA Public Liaisons by clicking on the link below.

                                                — Mary Schapiro

                                 The SEC FOIA/PA Office is located at the following address:

                                         Securities and Exchange Commission
                                         Office of FOIA and Privacy Act Operations
                                         100 F Street, NE
                                         Washington, DC 20549-2736

                                         Phone: 202-551-8300
                                         Fax:    202-772-9336

                                 The Freedom of Information Act (FOIA), which can be found in Title 5 of
                                 the United States Code, section 552, was enacted in 1966 and provides
                                 that any person has the right to request access to federal agency records
                                 or information. All agencies of the United States government are required
                                 to disclose records upon receiving a written request for them, except for
                                 those records that are protected from disclosure by the nine exemptions
                                 and three exclusions of the FOIA. This right of access is enforceable in

                                 The Privacy Act of 1974, which can be found in Title 5 of the United                                                                                            Page 1 of 3
SEC and the Freedom of Information Act                                                                            7/31/10 8:25 PM

                                 States Code, section 552a, establishes safeguards for the protection of
                                 records the Government collects and maintains on United States citizens
                                 and lawfully admitted permanent residents.

                                 Records You Can Obtain

                                 The Securities and Exchange Commission (SEC) maintains public and non-
                                 public records. Public records, such as registration statements and reports
                                 filed by regulated companies and individuals, SEC decisions and releases,
                                 staff manuals, no-action and interpretive letters, and public comments on
                                 proposed rules, are available through the Public Reference facilities
                                 located at SEC Headquarters (Conventional and Electronic Reading
                                 Rooms). Most public filings since 1995, SEC releases since September
                                 1995, and other public records are also at the SEC web site
                        You need not send a FOIA request to obtain public

                                 A FOIA request is required to obtain non-public records, such as records
                                 compiled in investigations, consumer complaints, and staff comment
                                 letters. We will release non-public records, unless the record is protected
                                 by one of nine FOIA exemptions. If we can reasonably segregate or delete
                                 exempt information from a requested record, we will release to you the
                                 rest of the record.

                                 For additional information, click on the appropriate document:

                                         From the President: Memorandum         SEC Annual FOIA Reports
                                         for the Heads of Executive
                                         Departments and Agencies on the          2009 FOIA Annual Report (pdf)
                                         Freedom of Information Act               (for the Fiscal Year Ending
                                                                                  September 30, 2009)
                                         From the Attorney General:               [Comma-separated values (csv)
                                         Memorandum for the Heads of              version]
                                         Executive Departments and
                                                                                  2008 FOIA Annual Report
                                         Agencies on the Freedom of
                                                                                  (for the Fiscal Year Ending
                                         Information Act
                                                                                  September 30, 2008)
                                         FOIA Action Plan Under Executive         2007 FOIA Annual Report
                                         Order 13392                              (for the Fiscal Year Ending
                                                                                  September 30, 2007)
                                            October 2009 Memorandum re:
                                            Chief FOIA Officer                    2006 FOIA Annual Report
                                            October 2008 FOIA Reading Room        (for the Fiscal Year Ending
                                            Certification                         September 30, 2006)
                                            August 2008 Update to FOIA Action
                                            Plan Under Executive Order 13392      2005 FOIA Annual Report
                                                                                  (for the Fiscal Year Ending
                                         FOIA Backlog Reduction Estimates         September 30, 2005)

                                         FOIA Public Liaisons                     2004 FOIA Annual Report
                                                                                  (for the Fiscal Year Ending
                                         How to Make a FOIA or Privacy            September 30, 2004)
                                         Act Request
                                                                                  2003 FOIA Annual Report
                                         Conventional and Electronic              (for the Fiscal Year Ending
                                         Reading Rooms                            September 30, 2003)

                                                                                  2002 FOIA Annual Report
                                         Government Information Locator
                                                                                  (for the Fiscal Year Ending                                                                                          Page 2 of 3
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                                                                                 (for the Fiscal Year Ending
                                         Services for SEC Systems
                                                                                 September 30, 2002)
                                         Frequently Requested FOIA
                                                                                 2001 FOIA Annual Report
                                                                                 (for the Fiscal Year Ending
                                                                                 September 30, 2001)
                                         SEC's FOIA Regulations
                                                                                 2000 FOIA Annual Report
                                             Schedule of Fees for
                                                                                 (for the Fiscal Year Ending
                                              Records Services
                                              (see also 17 CFR 200.80(e))        September 30, 2000)

                                                                                 1999 FOIA Annual Report
                                             SEC FOIA Regulations                (for the Fiscal Year Ending
                                              (17 CFR 200.80;
                                                                                 September 30, 1999)
                                              17 CFR 200.83)

                                                                              Chief FOIA Officer Reports
                                             SEC Privacy Act Regulations
                                              (17 CFR 200.301 –                  2010 Chief FOIA Officer Report
                                              17 CFR 200.312)                    [PDF version]

                                             SEC Confidential Treatment
                                              Procedure Under Rule 83


                                  Contact | Employment | Links | FOIA | Forms | Privacy Policy   Modified: 03/17/2010                                                                                                Page 3 of 3

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