Category Archives: Securities Exchange Commission

SEC Releases the Record with One Exemption

On 10/18 the SEC sent us an email with two pdfs attached: the agency’s response and the redacted record.

The response letter explained that the name of the employee who prepared the report was being withheld under FOIA Exemption 6 – personal privacy. The substance of the report was released in full. The letter also explained that since there were no fees associated with the request, my request for a fee waiver was moot.

See the Agency’s response and the record below.

SEC Response Letter

SEC- Released RM Report


SEC Classifies Us as a “Commercial” Requester; We have to Mail in an Appeal

On 10/11/2012 the SEC emailed us a PDF of a letter. The letter said that we they had categorized us as a “commercial” requester with regards to our fee status and letting us know of our right to appeal the determination. Commercial requesters are charged more fees than any of the other categories of requesters. As a non-profit 501(c)3 organization, we would not be using any responsive records for our commercial benefit, and should be categorized as an “other” requester. After emailing the FOIA processor to ask where we should send our appeal (the letter only indicated that appeals could be made to the General Counsel), we were told that the appeal must be sent in using the mail.

See the SEC’s fee letter here: (No. 13-00420-FOIA) Presidential Memorandum on Managing Government Records

Filing with the Securities Exchange Commission

We filed our request with the Securities Exchange Commission via email on 10/5/2012. We were emailed a PDF of a confirmation letter with contact information and the tracking number 10-00420-FOIA.