(a)(1) Information published in the Federal Register. Except as provided in paragraph (b) of this section the following materials are published in the Federal Register for the guidance of the public:
(1) Information published in the Federal Register. Except as provided in paragraph (b) of this section the following materials are published in the Federal Register for the guidance of the public:
(i) Description of the Commission's central and field organization and the established places at which, the employees from whom, and the methods whereby the public may obtain information, make submittals or requests, or obtain decisions;
(ii) Statements of the general course and method by which the Commission's functions are channeled and determined, including the nature and requirements of all formal and informal procedures available;
(iii) Rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations;
(iv) Substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the Commission;
(v) Each amendment, revision, or repeal of the foregoing; and
(vi) The notice of Commission meetings described in Sec. 200.403, but only to the extent, and under the conditions, specified in Sec. 200.403.
(2) Records available for public inspection and copying; documents published and indexed. Except as provided in paragraph (b) of this section, the following materials are available for public inspection and copying from 10 a.m. to 3 p.m., E.T., at the public reference room located at 100 F Street, NE., Washington, DC, and, except for indices, they are published weekly in a document entitled ``SEC Docket'' (see paragraph (e)(8)(ii) of this section):
(i) Final opinions of the Commission, including concurring and dissenting opinions, as well as orders made by the Commission in the adjudication of cases;
(ii) Statements of policy and interpretations which have been adopted by the Commission and are not published in the Federal Register;
(iii) Administrative staff manuals and instructions to staff that affect a member of the public;
(iv) A record of the final votes of each member of the Commission in every Commission proceeding concluded after July 1, 1967;
(v) Current indices (published quarterly or more frequently) providing identifying information to the public as to the materials made available pursuant to paragraphs (a)(2) (i), (ii), and (iii) of this section which have been issued, adopted or promulgated after July 1, 1967, and such other indices as the Commission may determine; and
(vi) Copies and a general index of all records which have been released to any person under the Freedom of Information Act and which, because of the nature of their subject matter, the Commission determines have become or are likely to become the subject matter of subsequent requests for substantially the same records.
(3) Records created on or after November 1, 1996, which are required to be available for public inspection and copying under paragraph (a)(2) of this section, shall be made available on the Internet.
(4) Other records available upon request. Except with respect to the records made available under paragraphs (a) (1) and (2) of this section, and subject to the provisions of paragraph (b) of this section, pertaining to nonpublic matters, the Commission, upon request for records which (i) reasonably describes such records and (ii) is made in accordance with the rules set forth in paragraphs (d) and (e) of this section, stating the time, place, fees (if any) and procedures to be followed, shall make the records promptly available to any person. A compilation of records generally available at the public reference room at the principal office of the Commission appears below as appendix A to this subpart (17 CFR 200.80a). Most of the records described in appendix A to this section are provided to the public pursuant to the Securities Act of 1933, 15 U.S.C. 77f(d), the Securities Exchange Act of 1934, 15 U.S.C. 78m(f)(4), the Investment Company Act of 1940, 15 U.S.C. 80a-44(a)(b), and the Investment Advisers Act of 1940, 15 U.S.C. 80b-10(a). Arrangements can be made through the Public Reference Branch as explained in paragraph (c) of this section for materials to be copied by the Commission's contract copying service at fees found in appendix E to this section.
(5) Records available with identifying details deleted. To the extent required to prevent a clearly unwarranted invasion of personal privacy, identifying details may be deleted from materials made public as set forth in paragraphs (a) (1), (2), and (3), of this section, e.g., apparently defamatory statements made about any person, information received by or given to the Commission in confidence, or any contents of personnel and medical and similar files. In addition, certain materials which are considered to be nonpublic, as described in paragraph (b) of this section may, as authorized by the Commission from time to time, be made available for public inspection and copying in an abridged or summary form or with identifying details deleted.
(b) Nonpublic matters. Certain records are nonpublic, but any reasonably segregable portion of a record shall be provided to any person requesting such record in accordance with paragraphs (d) and (e) of this section and after deletion of the portions which are considered nonpublic under paragraph (b) of this section. Except for such reasonably segregable portions of records, the Commission will generally not publish or make available to any person matters that are:
(1)(i) Specifically authorized under criteria established by an executive order to be kept secret in the interest of national defense or foreign policy, and (ii) are in fact properly classified pursuant to such executive order.
(i) Specifically authorized under criteria established by an executive order to be kept secret in the interest of national defense or foreign policy, and (ii) are in fact properly classified pursuant to such executive order.
(2) Related solely to the internal personnel rules and practices of the Commission or any other agency, including, but not limited to:
(i) Operation rules, guidelines, and manuals of procedure for investigators, attorneys, accountants, and other employees other than those which establish legal requirements to which members of the public are expected to conform; or
(ii) Hiring, termination, promotion, discipline, compensation, or reward of any Commission employee or member, the existence, investigation, or disposition of a complaint against any Commission employee or member, the physical or mental condition of any Commission employee or member, the handling of strictly internal matters, matters which would tend to infringe on the privacy of the staff or members of the Commission, or similar subjects.
(3) Specifically exempted from disclosure by statute (other than 5 U.S.C. 552): Provided, That such statute (i) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (ii) establishes particular criteria for withholding or refers to particular types of matters to be withheld.
(4) Disclose trade secrets and commercial or financial information obtained from a person and privileged or confidential, including, but not limited to:
(i) Information contained in letters of comment in connection with registration statements, applications for registration or other material filed with the Commission, replies thereto, and related material which is deemed to have been submitted to the Commission in confidence or to be confidential at the instance of the registrant or person who has filed such material unless the contrary clearly appears; and
(ii) Information contained in any document submitted to or required to be filed with the Commission where the Commission has undertaken formally or informally to receive such submission or filing for its use or the use of specified persons only, such as preliminary proxy material filed pursuant to Rule 14a-6 under the Securities Exchange Act (17 CFR 240.14a-6) or preliminary information statements filed pursuant to Rule 14c-5 (17 CFR 240.14c-5) before definitive material has been filed with the Commission, reports filed pursuant to Rule 316(a) under the Securities Act (17 CFR 230.316(a)), agreements filed pursuant to Rule 15c3-1d(c)(6)(i) under the Securities Exchange Act (17 CFR 240.15c3-1d(c)(6)(i)), schedules filed pursuant to Part II of Form X-17A-5 (17 CFR 249.617) in accordance with Rule 17a-5(b)(3) under the Securities Exchange Act (17 CFR 240.17a-5(b)(3)), statements filed pursuant to Rule 17a-5(k)(1) under the Securities Exchange Act (17 CFR 240.17a-5(k)(1)), and confidential reports filed pursuant to Rules 17a-10 and 17a-12 under the Securities Exchange Act (17 CFR 240.17a-10 and 240.17a-12); and
(iii) Information contained in reports, summaries, analyses, letters, or memoranda arising out of, in anticipation of or in connection with an examination or inspection of the books and records of any person or any other investigation.
(5) Interagency or intra-agency memoranda or letters, including generally records which reflect discussions between or consideration by members of the Commission or members of its staff, or both, of any action taken or proposed to be taken by the Commission or by any member of its staff, and specifically, reports, summaries, analyses, conclusions, or any other work product of members of the Commission or of attorneys, accountants, analysts, or other members of the Commission's staff, prepared in the course of an inspection of the books or records of any person whose affairs are regulated by the Commission, or prepared otherwise in the course of an examination or investigation or related litigation conducted by or on behalf of the Commission, except those which by law would routinely be made available to a party other than an agency in litigation with the Commission.
(6) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy, including those concerning all employees of the Commission and those concerning persons subject to regulation by the Commission.
(7) Records or information compiled for law enforcement purposes to the extent that the production of such records or information:
(i) Could reasonably be expected to interfere with enforcement activities undertaken or likely to be undertaken by the Commission or the Department of Justice, or any United States Attorney, or any Federal, state, local, foreign governmental authority or foreign securities authority, any professional association, or any securities industry self-regulatory organization;
(ii) Would deprive a person of a right to a fair trial or an impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a confidential source including a state, local or foreign agency or authority or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a criminal law enforcement authority in the course of a criminal investigation, or by an agency conducting a lawful national security intelligence investigation, information furnished by a confidential source;
(v) Would disclose techniques or procedures or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law; or
(vi) Could be reasonably expected to endanger the life or physical safety of any individual.
(8) Contained in, or related to, any examination, operating, or condition report prepared by, on behalf of, or for the use of, the Commission, any other Federal, state, local, or foreign governmental authority or foreign securities authority, or any securities industry self-regulatory organization, responsible for the regulation or supervision of financial institutions.
(9) Geological and geophysical information and data, including maps, concerning wells.
(c)(1) Public reference facility. In order to disseminate records, including those listed in appendix A to this section, the Commission has a specially staffed and equipped public reference room located at 100 F Street, NE., Washington, DC. Copying machines, which are available to requestors on a self-service or contractor-operated basis, can be used to make immediate copies up to 8\1/2\ by 11 inches in size of materials that are available for inspection in the Washington, DC Headquarters. Fees and levels of service are set out in the Commission's schedule of fees in appendix E to this section and in information available from the public reference room. The Commission accepts only written requests for copies of documents.
(1) Public reference facility. In order to disseminate records, including those listed in appendix A to this section, the Commission has a specially staffed and equipped public reference room located at 100 F Street, NE., Washington, DC. Copying machines, which are available to requestors on a self-service or contractor-operated basis, can be used to make immediate copies up to 8\1/2\ by 11 inches in size of materials that are available for inspection in the Washington, DC Headquarters. Fees and levels of service are set out in the Commission's schedule of fees in appendix E to this section and in information available from the public reference room. The Commission accepts only written requests for copies of documents.
(i) The public reference room in Washington, DC has available for public inspection all of the publicly available records of the Commission as described in paragraph (a) of this section. Upon request, and only when suitable arrangements can be made with respect to the transportation, storage, and inspection of records, records may be sent to any other Commission office for inspection at that office, if the records are not needed by the Commission or the staff in connection with the performance of official duties. When the records are sent to another office at the request of a member of the public, the requestor shall be charged all costs incurred by the Commission in transporting the records.
(ii) All regional offices of the Commission have available for public examination the materials set forth in paragraph (a)(2) of this section and the SEC Docket, SEC News Digest, and other SEC publications. Blank forms as well as other general information about the operations of the Commission described in paragraph (a)(1) of this section may also be available at particular regional offices.
(iii) The addresses of the Commission's regional offices are:
Atlanta Regional Office--3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232. Office hours--9 a.m. to 5:30 p.m. E.T.
Boston Regional Office--33 Arch Street, 23rd Floor, Boston, MA 02110-1424. Office hours--9 a.m. to 5:30 p.m. E.T.
Chicago Regional Office--175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908. Office hours--8:45 a.m. to 5:15 p.m. C.T.
Denver Regional Office--1801 California Street, Suite 1500, Denver, CO 80202-2656. Office hours--8 a.m. to 4:30 p.m. M.T.
Fort Worth Regional Office--Burnett Plaza, Suite 1900, 801 Cherry Street, Unit 18, Fort Worth, TX 76102-6882. Office hours--8:30 a.m. to 5 p.m. C.T.
Los Angeles Regional Office--5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648. Office hours--8:30 a.m. to 5 p.m. P.T.
Miami Regional Office--801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901. Office hours--9 a.m. to 5:30 p.m. E.T.
New York Regional Office--3 World Financial Center, Suite 400, New York, NY 10281-1022. Office hours--9 a.m. to 5:30 p.m. E.T.
Philadelphia Regional Office--701 Market Street, Suite 2000, Philadelphia, PA 19106-1532. Office hours--9 a.m. to 5:30 p.m. E.T.
Salt Lake City Regional Office--15 W. South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573. Office hours--8 a.m. to 4:30 p.m. M.T.
San Francisco Regional Office--44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716. Office hours--8:30 a.m. to 5 p.m. P.T.
(2) Public reference inquiries. Inquiries concerning the nature and extent of records available at the Commission's public reference room in Washington may be made in person or in writing. The addresses of all Commission Regional Offices are set forth at paragraph (c)(1) of this section. Written inquiries may be addressed to the Securities and Exchange Commission, Public Reference Branch, 100 F Street, NE., Washington, DC 20549.
(3) Electronic filings made through the Electronic Data Gathering, Analysis, and Retrieval system are publicly available through the Commission's Web site (http://www.sec.gov).
(d) Requests for Commission records and copies thereof--(1) Time and place of requests for access to Commission records. Requests for access to records available through the Commission's public reference facility may be made in person from 10 a.m. to 3 p.m., E.T., at this facility or by mail directed to the Public Reference Branch, Securities and Exchange Commission, Washington, DC 20549. In addition, access to agency records not available in the public reference facility may be requested pursuant to the Freedom of Information Act. Such requests must be in writing, should be clearly and prominently identified by a legend on the first page, such as ``Freedom of Information Act Request'', and should be addressed to the Freedom of Information Act Officer, SEC, 100 F Street, NE., Washington, DC 20549. The request may also be made by facsimile (202-772-9337) or by Internet (foia/pa@sec.gov).
(1) Time and place of requests for access to Commission records. Requests for access to records available through the Commission's public reference facility may be made in person from 10 a.m. to 3 p.m., E.T., at this facility or by mail directed to the Public Reference Branch, Securities and Exchange Commission, Washington, DC 20549. In addition, access to agency records not available in the public reference facility may be requested pursuant to the Freedom of Information Act. Such requests must be in writing, should be clearly and prominently identified by a legend on the first page, such as ``Freedom of Information Act Request'', and should be addressed to the Freedom of Information Act Officer, SEC, 100 F Street, NE., Washington, DC 20549. The request may also be made by facsimile (202-772-9337) or by Internet (foia/pa@sec.gov).
(2) Requests for copies of records. Requests for copies of Commission records available through the Commission's public reference facility, including those listed in appendix A to this section, may be made directly to the facility either in person or by mail addressed to the Securities and Exchange Commission, Public Reference Branch, Washington, DC 20549. Levels of service and charges for copies are set out in the Commission's schedule of fees in appendix E to this section. Requests for copies of materials to which access has been granted pursuant to a Freedom of Information Act request will be processed pursuant to regulations found in this section in paragraphs (e)(9) and (e)(10) and at charges set out in appendix E to this section.
(3) Description of requested records. Each request for Commission records or copies thereof shall reasonably describe the records sought with sufficient specificity with respect to names, dates and subject matter to permit the records to be located among the records maintained by or for the Commission. A person who has requested Commission records or copies thereof will be promptly advised if the records cannot be located on the basis of the description given and that further identifying information must be provided before his request can be satisfied.
(4) Normal availability. Records maintained in the Commission's public reference facility or copies thereof will normally be made available in keeping with levels of service and fees set out in appendix E to this section. Records requested pursuant to the Freedom of Information Act will be made available as described in paragraphs (e)(9) and (e)(10) of this section.
(5) Initial determination; multi-track processing, and denials--(i) Time within which to respond. When a request complies with the procedures in this section for requesting records under the Freedom of Information Act, a response shall be sent within 20 business days from the date the Office of Freedom of Information and Privacy Act Operations receives the request, except as described in paragraphs (d)(5)(ii) and (d)(5)(iii) of this section. If that Office has identified the requested records, the response shall state that the records are being withheld, in whole or in part, under a specific exemption or are being released.
(i) Time within which to respond. When a request complies with the procedures in this section for requesting records under the Freedom of Information Act, a response shall be sent within 20 business days from the date the Office of Freedom of Information and Privacy Act Operations receives the request, except as described in paragraphs (d)(5)(ii) and (d)(5)(iii) of this section. If that Office has identified the requested records, the response shall state that the records are being withheld, in whole or in part, under a specific exemption or are being released.
(ii) Voluminous records. The amount of separate and distinct records which are demanded in a single request or the amount of time or work (or both) involved may be such that the review of the records cannot be completed within 20 business days, as prescribed in paragraph (d)(5)(i) of this section. In such a case, the Office of Freedom of Information and Privacy Act Operations shall inform the requester of the approximate volume of the records and give him or her the option of limiting the scope of the request to qualify for 20-day processing or placing the request in the Commission's first-in, first-out (FIFO) system for reviewing voluminous records. In the latter case, the Office will inform the requester of the approximate time when the review will start. The FIFO system allows the Commission to serve all those requesting voluminous records on a first-come, first-served basis, such that all releasable records sought will be released at one time, unless the requester specifically requests that releasable records be released piecemeal as they are processed.
(iii) Expedited processing. The Office of Freedom of Information and Privacy Act Operations shall grant a request for expedited processing if the requester demonstrates a compelling need for the records. ``Compelling need'' means that a failure to obtain the requested records on an expedited basis could reasonably be expected to pose an imminent threat to an individual's life or physical safety or, if the requester is primarily engaged in disseminating information, an urgency to inform the public of actual or alleged Federal government activity. A compelling need shall be demonstrated by a statement, certified to be true and correct to the best of the requester's knowledge and belief. The Office of Freedom of Information and Privacy Act Operations shall notify the requester of the decision to grant or deny the request for expedited treatment within ten business days of the date of the request. A request for records that has been granted expedited processing shall be processed as soon as practicable.
(iv) Notice of denial. Any notification of denial of any request for records shall state the name and title or position of the person responsible for the denial of the request, the reason for the decision, and the right of the requester to appeal to the General Counsel. The decision shall estimate the volume of records that are being withheld in their entirety, unless giving such an estimate would harm an interest protected by the applicable exemption. The amount of information redacted shall be indicated on the released portion of the record and, if technically feasible, at the place where the redaction is made.
(v) Form of releasable records. Releasable records shall be made available in any form or format requested if they are readily reproducible in that form or format.
(6) Administrative review. Any person who has received no response to a request within the period prescribed in paragraph (d)(5) of this section or within an extended period permitted under paragraph (d)(7) of this section, or whose request has been denied under paragraph (d)(5) of this section, may appeal the adverse decision or failure to respond to the General Counsel.
(i) The appeal shall be in writing, shall be clearly and prominently identified on the envelope or other cover and at the top of the first page by a legend such as ``Freedom of Information Act Appeal,'' and shall identify the record in the form in which it was originally requested.
(ii) The appeal must be mailed to the Office of Freedom of Information and Privacy Act Operations, SEC, 100 F Street, NE., Washington, DC 20549, and a copy of it must be mailed to the General Counsel, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
(iii) The appeal may include such facts and cite such legal or other authorities as the person submitting the appeal may consider appropriate.
(iv) The General Counsel shall have the authority to grant or deny all appeals, in whole or in part, and to release as an exercise of discretion records exempt from mandatory disclosure under 5 U.S.C. 552(b). In appropriate cases he or she may, in his or her sole and unfettered discretion, refer appeals to the Commission for determination.
(v) A determination with respect to any appeal shall be made within twenty days (excepting Saturdays, Sundays and legal public holidays) after the receipt of such appeal or within such extended period as may be permitted in accordance with paragraph (d)(7) of this section.
(vi) A denial of an appeal in whole or in part shall set forth the basis for the denial, and shall advise the requester that judicial review of the decision is available in accordance with 5 U.S.C. 552(a)(4).
(7) Extension of time to consider requests and to consider administrative appeals. In unusual circumstances, as specified in this paragraph, the time limits prescribed in either paragraphs (d) (5) or (6) of this section may be extended by written notice to the person making a request for a record or a copy, setting forth the unusual circumstances for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten business days, except as provided in paragraph (d)(8) of this section. As used in this paragraph, ``unusual circumstances'' means, but only to the extent reasonably necessary to the proper processing of the particular request:
(i) The need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request. (Many records of the Commission are stored in Federal Records Centers in accordance with law--including many of the documents which have been on file with the Commission for more than 2 years--and cannot be made available for several days after a request has been made. Other records may temporarily be located at a regional office of the Commission. Any person who has requested for personal examination a record stored at the Federal Records Center or temporarily located in a regional office of the Commission will be notified when and where the record will be made available to him. Any person who has ordered a copy of such record will be provided with a copy as soon as practicable). Some records have been disposed of in accordance with the Commission's Records Control Schedule (17 CFR 200.80(f)).
(ii) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request. (While every reasonable effort will be made fully to comply with each request as promptly as possible on a first-come, first-served basis, work done to search for, collect and appropriately examine records in response to a request for a large number of records will be contingent upon the availability of processing personnel in accordance with an equitable allocation of time to all members of the public who have requested or wish to request records.)
(iii) The need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components within the Commission having substantial subject-matter interest therein.
(8) Inability to meet time limits. If a request for records cannot be processed within the time prescribed under paragraph (d)(7) of this section, the Commission shall so notify and give the requester an opportunity to modify the request so that it may be processed within that time or to arrange an alternative time for processing the request or a modified request.
(i) Records in use for another member of the public. Any record being inspected by or copied for another member of the public will be made available as soon as practicable.
(ii) Records in use by a member of the Commission or its staff. Although every effort will be made to make a record in use by a member of the Commission or its staff available when requested, it may occasionally be necessary to delay making such a record available when doing so at the time the request is made would seriously interfere with the work of the Commission or its staff.
(iii) Missing or lost records. Any person who has requested a record or copy will be notified if the record sought cannot be found. If he so requests, he will be notified if it should subsequently be located.
(9) Misdirected written requests. The Commission cannot assure that a timely or satisfactory response will be given to written requests for inspection or copies of records that are directed to the Commission other than in the manner prescribed in paragraphs (d) (1) and (2) of this section. Any staff member who receives a written request for records should promptly forward the request to the Freedom of Information Act Officer. Misdirected requests for records will be considered to have been received for purposes of paragraph (d) of this section only when they have been actually received by the Freedom of Information Act Officer. The Commission will not entertain any appeal from an alleged denial or failure to comply with a misdirected request, unless it is clearly shown that the request was in fact received by the Freedom of Information Act Officer.
(e) Fees for records services. A current schedule of fees for record services, including locating, reviewing, and making records available, attestations and copying, appears in appendix E to this subpart D, 17 CFR 200.80e. Copies of the current schedule of fees may also be obtained upon request made in person, by telephone or by mail from the public reference room or at any regional office of the Commission.
(1) Services provided without charge. Generally, up to one-half hour of staff time devoted to searching for and reviewing Commission records will be provided without charge. Where a request for records pursuant to the Freedom of Information Act is determined not to serve a commercial purpose as defined in paragraph (e)(10)(ii) of this section, a total of two staff hours of search and review and one hundred pages of duplication as defined in paragraphs (e)(9)(i), (e)(9)(ii) and (e)(9)(iii) of this section, respectively, shall be made available without charge in the form most economical for the government.
(2) Services for which fees are charged. For records available through the Commission's public reference facility, requestors may make arrangements for duplication in accordance with provisions of the Commission's dissemination contract. Copies of that contract, which contain tables of charges, may be inspected in the public reference room, 100 F Street, NE., Washington, DC. A complete schedule of services offered by the contractor and fees charged for those services is available through the Commission's public reference facility. Fees for services provided in connection with requests made pursuant to the Freedom of Information Act shall be assessed as set out in appendix E to this section and in keeping with guidelines and procedures described in paragraphs (e)(9) and (e)(10) of this section.
(3) Requests requiring large expenditures. A request for Commission records may state that the requesting person is willing to pay fees up to a stated limit for services to be provided in locating, reviewing and making available requested records. In such circumstances, no work will be done that will result in fees beyond the stated limit without further written authorization. If no limit is initially stated by the person requesting records or copies, services in locating and making available the requested records will not be done so as to exceed fees of $28 (exclusive of applicable copying charges) without the express written authorization by the requesting person, and he will be so informed.
(4) Waiver or reduction of fees. (i) The Office of Freedom of Information and Privacy Act Operations may waive or reduce search, review, and duplication fees if:
(i) The Office of Freedom of Information and Privacy Act Operations may waive or reduce search, review, and duplication fees if:
(A) Disclosure of the requested records is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government; and
(B) Disclosure is not primarily in the commercial interest of the requester.
(ii) The Office of Freedom of Information and Privacy Act Operations will determine whether disclosure is likely to contribute significantly to public understanding of the operations or activities of the government based upon four factors:
(A) Whether the subject of the requested records concerns the operations and activities of the Federal government;
(B) Whether the requested records are meaningfully informative on those operations or activities so that their disclosure would likely contribute to increased public understanding of specific operations or activities of the government;
(C) Whether disclosure will contribute to the understanding of the public at large, rather than the understanding of the requester or a narrow segment of interested persons; and
(D) Whether disclosure would contribute significantly to public understanding of the governmental operations or activities.
(iii) The Office of Freedom of Information and Privacy Act Operations will determine whether disclosure of the requested records is not primarily in the commercial interest of the requester based upon two factors:
(A) Whether disclosure would further any commercial interests of the requester; and
(B) Whether the public interest in disclosure is greater than the requester's commercial interest.
(iv) If only a portion of the requested records satisfies both the requirements for a waiver or reduction of fees, a waiver or reduction of fees will be granted for only that portion.
(v) A request for a waiver or reduction of fees may be a part of a request for records. Such requests should address all the factors identified in paragraphs (e)(4)(ii) and (e)(4)(iii) of this section.
(vi) Denials of requests for a waiver or reduction of fees may be appealed to the General Counsel in accordance with the procedure set forth in paragraph (d)(6) of this section.
(5) Records obtained from Federal Records Centers. When, to fill a request for inspection or copying, records are required to be obtained from a Federal Records Center, fees, in addition to those provided on the Commission's current schedule of fees, will be charged to the extent authorized or required by rules or regulations promulgated by the National Archives and Records Administration.
(6) Attestations. In addition to any other fees or charges which may apply, a fee will be charged for records attestations as provided in the Commission's current schedule of fees. The seal of the Commission will be affixed to all attestations without additional charge.
(7) Copying services. Copies of records filed with or retained by the Commission, or portions thereof, will be provided subject to fees established by agreement between the Commission and a private contractor as set forth in the Commission's current schedule of fees and, where applicable, procedures and guidelines for Freedom of Information Act requests as set out in paragraphs (e)(9) and (e)(10) of this section.
(i) Facsimile copies. Requests for facsimile copies may be made either in person at the Commission's Washington, DC public reference room, or by mail addressed to the Securities and Exchange Commission, Public Reference Room, 100 F Street, NE., Washington, DC 20549. The contractor will send copies directly to the purchaser unless attestation is requested. Persons who request copies of documents through the public reference room will be billed by the contractor at regulated prices, and will be billed separately by the Commission for search, review and attestation charges, if any. Copies of documents requested directly from the contractor or from any other information service or vendor are not subject to regulated prices. Special classes of copying services, such as telecopies, not listed herein or in the current schedule of fees posted in the public reference room, are not provided or regulated by the Commission, but may be obtained from private vendors at market prices.
(ii) Microfiche copies. A contractor also makes available to the public microfiche copies of certain public documents on file with the Commission, at prices and on terms governed by its contract with the Commission. Microfiche services include subscription microfiche service on an annual basis. Microfiche subscription prices are regulated by the Commission whether requested through the public reference room or directly from the contractor. Certain other microfiche services are provided at prices that are regulated by the Commission only if ordered through the Commission's public reference room. The Commission will accept only subscription requests made in writing, although the contractor may elect to accept subscription requests by telephone. All microfiche subscription charges are payable directly to the contractor, whether placed through the Commission or not. Information concerning the types and cost of regulated microfiche services may be obtained by writing to the Commission at its public reference room located at 100 F Street, NE., Washington, DC 20549.
(iii) Transcripts of public hearings. Copies of the transcripts of recent public hearings may be obtained from the reporter subject to the fees established annually by contract between the Commission and the reporter. Copies of that contract, which contains tables of charges, may be inspected in the public reference room, 100 F Street, NE., Washington, DC and in each regional office. Copies of other public transcripts may be obtained, in the manner of other Commission records, subject to the charges referred to in paragraph (e)(7)(i) of this section.
(8) Releases and publications. (i) The Commission's decisions, reports, orders, rules and regulations are published initially in the form of releases and distributed.
(i) The Commission's decisions, reports, orders, rules and regulations are published initially in the form of releases and distributed.
(ii) The Commission publishes daily the SEC News Digest, which summarizes the releases published by the Commission each day, contains Commission announcements, and lists certain filings with the Commission. The Commission publishes weekly the SEC Docket, which prints the full text of every Commission release.
(iii) The Commission publishes an annual report to the Congress which sets forth the results of the Commission's operations during the past fiscal year under the various statutes committed to its charge. Copies may be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
(iv) The Commission also makes other information in the fields of securities and finance, including economic studies, available to the public through the issuance of releases on specific subject matters.
(v) A classification of the releases available from the Commission appears below as appendix B to this section. Other publications available from the Commission are set forth in appendix C to this section. Copies of rules, regulations, and miscellaneous publications set forth in appendix D to this section may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
(9) Fees for services required for processing Freedom of Information Act Requests. In cases where records are requested pursuant to the Freedom of Information Act and according to procedures set forth in paragraph (d)(1) of this section, fees shall be charged as set out in the Commission's current schedule of fees, appendix E to this section, for services as described in the following:
(i) Search. The term ``search'' includes all time spent looking for material manually or by using electronic data processing equipment that is responsive to a request, as distinguished from ``review'' as defined at paragraph (e)(9)(ii) of this section. Searching for requested and specifically identified information, as described in paragraph (d)(1) of this section, includes the cost of staff time devoted to the search as indicated in appendix E to this section and direct costs for use of Commission electronic data processing equipment.
(ii) Review. The term ``review'' refers to the process of examining documents located in response to a request to determine whether any portion of any document is permitted to be withheld pursuant to provisions of the Freedom of Information Act. It also includes processing any documents for disclosure, e.g., doing all that is necessary to excise material from and otherwise prepare them for release.
(iii) Duplication. The term ``duplication'' refers to producing paper or microform copies of records. The Commission shall charge for duplication as established by agreement between the Commission and a private contractor. These charges are currently set out in appendix E to this section. Such charges shall be set so as not to exceed the direct cost that would be incurred by the Commission if it were to perform such services itself, as calculated to include the salary of operators, the cost of reproduction machinery, the cost of material and any other direct costs incurred by the Commission in copying materials responsive to a Freedom of Information Act request.
(iv) Partial exemption from fee provisions. No fees shall be charged for the first two hours of search time and the first one hundred pages of materials for requesters described in paragraphs (e)(10)(i) and (e)(10)(iii) of this section.
(v) Minimum fee. Fees will not be charged if the normal cost of collecting a fee would be equal to or greater than the fee itself.
(10) Classification of Freedom of Information Act requesters for purposes of assessing fees. Parties requesting records pursuant to the Freedom of Information Act will be classified and charged fees described in appendix E to this section as follows:
(i) The following types of requesters shall be charged for duplication of records as described in paragraph (e)(9)(iii) of this section as qualified in paragraph (e)(9)(iv) of this section: Educational institutions requesting information for purposes of scholarly research; non-commercial scientific institutions requesting information for purposes of scientific research; and representatives of the news media requesting information concerning current events or matters of current interest to the general public.
(ii) Commercial requesters, defined as parties other than those mentioned in paragraph (e)(10)(i) of this section who are requesting information to be used in any way which could reasonably be expected to result in corporate or personal financial gain or profit, shall be charged for search, review and duplication of records as described in paragraphs (e)(9)(i), (e)(9)(ii) and (e)(9)(iii), respectively, of this section.
(iii) All parties other than those described in paragraphs (e)(10)(i) and (e)(10)(ii) of this section requesting access to such records shall be charged for search and duplication of records as described in paragraphs (e)(9)(i) and (e)(9)(iii) of this section, respectively, as qualified in paragraph (e)(9)(iv) of this section.
(11) Appeal of classification. Classification under the provisions of paragraph (e)(10) of this section may be appealed to the General Counsel in accordance with the procedure set forth in paragraph (d)(6) of this section.
(12) Aggregation of requests. If the Freedom of Information Act Officer reasonably believes that a requester or group of requesters acting in concert is attempting to divide one request into a series of requests for the purpose of evading the assessment of fees, those requests may be aggregated and charges assessed accordingly.
(13) Advance payment. The Freedom of Information Act Officer may require advance payment of fees expected to be incurred in connection with a request, but only when the subject requester has failed to make timely payment in the past, or when the estimated processing costs exceed $250.00 and the requester has no previous payment records or has failed to make timely payment in the past. Processing in such cases shall be delayed until advance payment is received and statutory time limits will be appropriately extended.
(14) Interest on unpaid bills. On the 31st day following the date of a bill to a requester, the Commission may begin assessing interest on the unpaid amount at the rate prescribed in section 3717 of title 31 of the U.S. Code. Interest will accrue from the date of the bill. [40 FR 8799, Mar. 3, 1975]
Editorial Note: For Federal Register citations affecting Sec. 200.80, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov. Sec. 200.80a Appendix A--Documentary materials available to the public.
[See footnotes at end of table]------------------------------------------------------------------------
Description Pursuant to section--------------------------------------------------------------------------
Securities Act of 1933------------------------------------------------------------------------Registration statement providing financial 6
and other information concerning
securities offered for public sale, filed
under Regulation C (17 CFR 230.400 et
seq.).Prospectuses (selling circulars) in 10
connection with registration statement.Periodic reports (annual, quarterly, and (\1\)
current) to keep reasonably current the
information in registration statement.Requests for extension of time to file (\2\)
information, document, or report.Reports of sales of registered securities 19(a), 20(a)
and use of proceeds thereunder by first
time registrants.Report by issuers of securities quoted on (\1\)
NASDAQ Inter-Dealer Quotation System.Preliminary data (prospectus, circular 3(b)
letters, etc.) to oil offering
(Regulation B) (17 CFR 230.300 et seq.).Offering sheets for oil or gas rights and 3(b)
royalties under Regulation B for
exemption from registration provisions
(17 CFR 230.300 et seq.).Notifications of exemption from 3(b)
registration filed under Regulation A, E,
and F (17 CFR 230.251, 230.601, 230.651
et seq.).
Offering circulars and written 3(b)
advertisements or other communications
under Regulations A, E, and F (17 CFR
230.251, 230.601, 230.651 et seq.).Report of sales and use of proceeds 3(b)
(Regulations A and E) (17 CFR 230.251,
230.601 et seq.).Consent by non-resident to service of 3(b)
process (Regulation A) (17 CFR 230.251 et
seq.).Application for relief from disability 3(b)
under Regulations A and F (17 CFR 230.651
et seq.).Notice of proposed resale of restricted 4(1), 4(4)
securities and resale of securities by
control persons (17 CFR 230.144).Notice of proposed sale by non-controlling 3(b)
person of restricted securities of
issuers which do not satisfy all of the
conditions of Rule 144 (17 CFR 230.237).Notice of sale of securities by closely 3(b)
held issuers (issuers with 100 or less
beneficial owners) other than investment
companies, registered or required to be
registered under the Investment Company
Act of 1940 (17 CFR 230.240).------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------
Description Pursuant to section--------------------------------------------------------------------------
Securities Exchange Act of 1934------------------------------------------------------------------------Registration statement (securities listed 12(b)
on a national securities exchange).Registration statement (securities traded 12(g)
over-the-counter).Exemption from section 12(g), 13, 14, 15, 12(h)
or 16.Information by a foreign issuer 12(g)(3)
temporarily exempt from section 12(g).Certification of exchange approving 12(d)
securities for listing and registration.Periodic reports (annual, quarterly and 13(a)
current) to keep current the information
in the above registration statements.Request for extension of time to file 12(b)
information, document, or report.Correspondence between the Commission and 13(a), 15(d)
registrants that are delinquent in filing
certain required reports.Report by issuers of securities quoted on 15(d), 13(a)
NASDAQ Inter-Dealer Quotation System.Certificate of termination of Registration (\3\)
for a class of security.Notices of suspension of trading.......... 12(d)Application to withdraw or strike a 12(d)
security from listing and registration on
a national securities exchange.Notification by an exchange of the 12(a)
admission to trading of a substituted or
additional class of security.Definitive proxy soliciting materials 14(a)
filed under Regulation 14A (17 CFR
240.14a-1 et seq.).Distribution of information to security 14(c)
holders from whom proxies are not
solicited filed under Regulation C (17
CFR 230.400 et seq.).Acquisitions, tender offers and 13(d), 14(d)
solicitations. (17 CFR 240.14d-1 et seq.).Initial statement of beneficial ownership 16(a)
of equity securities by officers,
directors and principal stockholders of
issuers having listed equity securities;
and changes in such ownership.Application for permission to extend 12(f)
unlisted trading privileges, notification
of changes, and notification of
termination or suspension.Application for registration as a broker 15(b)
and dealer, and amendments or supplements
to such application.Reports of financial condition of 17
registered brokers and dealers.Application for registration as a transfer 17A(c)
agent and amendments to such application.Application for registration as a 15B(a)
municipal securities dealer.Application for registration or exemption 11A(b)
as a securities information processor.Application for registration or exemption 17A(b)
as a clearing agency.Irrevocable appointment of agent for 23(a)
service of process, pleadings and other
papers.Notice by non-resident broker or dealer 17
specifying address of place in United
States where copies of books and records
are located and undertaking to furnish to
Commission, upon demand, copies of books
and records he is required to maintain.Subordination agreements.................. 15Initial assessment and information form 15(b)(8)
for registered brokers and dealers not
members of a registered national
securities association.Annual assessment and information form for 15(b)(8)
registered brokers and dealers not
members of a registered national
securities association.Reports of market makers and other 17(a)
registered broker-dealers in securities
traded on national securities exchanges.Reports by registered brokers and dealers 17(a)
who are OTC Market in Makers in any OTC
Margin Securities.Proposed rule changes by all self- 19(b)
regulatory organizations.Notice as to stated policies, practices 19(b)
and interpretations of self-regulatory
organizations.Application by an exchange for 6(a)
registration or exemption from
registration as a national securities
exchange.Annual amendments and supplemental 6(e)
material filed to keep reasonably current
the information contained in application
for registration or exemption.Record disposal plan of national 17
securities exchanges.Application for listing securities on an 12(b)
exempted exchange.Periodic reports to keep reasonably 13
current the information contained in
application for listing securities on
exempted exchange.Certification of exempted exchange 12(d)
approving securities for listing.
Application for registration as a national 15A
securities association or affiliated
securities association.Annual supplement consolidated to keep 15A
reasonably current the information in the
above application.Report of changes in membership status of 17, 19
any of its members required of national
securities exchanges and registered
national securities associations.Application by a national securities 15A(b)(4)
association or a broker or dealer for
admission or continuance of a broker or
dealer as member of a national securities
association, notwithstanding a
disqualification under section 15A(b)(4).Application for review of disciplinary 15A(g)
action or denial of membership by
registered securities association.Reports on stabilizing activities 17
pertaining to a fixed price offering of
securities registered or to be registered
under the Securities Act of 1933, or
offered or to be offered pursuant to an
exemption under Regulation A (17 CFR
230.251 et seq.), or being or to be
otherwise offered if aggregate offering
price exceeds $500,000.Plans by exchanges authorizing payment of 10
special commission in connection with a
distribution of securities on exchanges.Suspensions of trading of securities 15(c)(5)
otherwise than on a national securities
exchange.Annual and supplemental reports of the 17
Municipal Securities Rulemaking Board.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------
Description Pursuant to section--------------------------------------------------------------------------
Trust Indenture Act of 1939------------------------------------------------------------------------Statement of eligibility and qualification 305, 307
of corporations or individuals as
trustees under qualified indenture under
which debt security has been or is to be
issued.Application for qualification of indenture 307
under which security (bonds, debentures,
notes and similar debt securities) has
been or is to be issued.Application for exemption from provisions 304(c), (d)
of the Act in certain cases.Application re conflict of interest of 310(b)(1)
trustees.Reports by indenture trustee to indenture 313
security holders with respect to
eligibility and qualification under
section 310.Application relative to affiliations 310(b)(3), 310(b)(6)
between trustees and underwriters.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------
Description Pursuant to section--------------------------------------------------------------------------
Investment Advisers Act of 1940------------------------------------------------------------------------Application for registration as investment 203(c), 204
adviser or to amend or supplement such an
application.Application for exemption and other relief 206AIrrevocable appointment of agent for 211(a)
service of process, pleadings and other
papers.Notice by non-resident investment adviser 204
specifying address of place in United
States where copies of books and records
are located, or.Undertaking by non-resident investment 204
adviser to furnish to Commission, upon
demand, copies of any books or records he
is required to maintain.------------------------------------------------------------------------
[See footnotes at end of table]------------------------------------------------------------------------
Description Pursuant to section--------------------------------------------------------------------------
Investment Company Act of 1940------------------------------------------------------------------------Notification of registration of investment 8(a), 8(b)
company, and registration statement
covering an offering of securities of
investment company evidencing an interest
in a portfolio of securities in which the
investment company invests.Periodic reports (annual and quarterly) to 30(a), 30(b)(1)
keep reasonably current the information
in above registration statement.Periodic or interim reports to security 30(b)(2)
holders of registered investment
companies.Application for order of the Commission 8(f)
determining registrant has ceased to be
an investment company.Fidelity bond, resolution of board of 17(g)
directors, notice of cancellation or
termination of bond for officers and
employees of investment companies who
have access to its securities or funds.Waiver of indemnification of officers and 17(h), 17(i)
directors of investment companies.Report of independent auditors examining 17(f)
records of investment companies.Application by other than registrant for 35(d)
order of Commission declaring corporate
name of registrant is misleading or
deceptive.Request by company for certificate to be (\4\)
issued to Secretary of Treasury.Proxy soliciting material................. 20(a) \5\Initial statement of beneficial ownership 30(f)
of securities by officers, directors and
other specified insiders of registered
closed-end investment companies, and
changes in such ownership.
Application for exemption from provisions 2(a)(9), 3(b)(2), 6 (b),
of the Act and other relief. (c), (d), 7 (d), 10 (e),
(f), 11 (a), (c), 12 (d)
(1), (d)(2), 14(a), 15 (a),
16(a), 17 (a), (b), (d),
(e), 18(i), 22(d), 23 (b)
(5), (c)(3), 24(d), 26(a)
(2)(C), 28(c), 35(d), and
others.Statement of transactions--exemption from 10(f)
provisions of section 10(f).Application for an ineligible person to 9(b)
serve as officer, director, etc. of a
registered investment company.Request for advisory report of the 25(b)
Commission relating to the reorganization
of registered investment company.Report of repurchase of its own securities 23(c)
by a closed-end company.Sales literature regarding securities of 24(b)
certain investment companies.Statement of the Federal Savings and Loan 6(a)(4)
Corporation relating to the exemption of
certain issuers.Report submitted pursuant to an order of ............................
the Commission.Documents and records resulting from 33
derivative or representative law suits.------------------------------------------------------------------------Footnotes:\1\ Section 15(d)--Securities Exchange Act of 1934.\2\ Section 12(b)--Securities Exchange Act of 1934.\3\ Section 12(g)--Securities Exchange Act of 1934.\4\ Section 851(e)(1) of the Internal Revenue Code of 1954 is
applicable.\5\ Regulation 14 under the Securities Exchange Act of 1934 is
applicable (17 CFR 240.14a-1 et seq.).
Miscellaneous
Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under the various Acts administered by the Commission.
Requests for no-action and interpretative letters and responses thereto.
Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral arguments, motions, briefs, exceptions.
Commission findings, opinions, orders, rulings and notices issued for public release.
Final opinions of the Commission, including concurring and dissenting opinions, as well as orders made by the Commission in the adjudication of cases.
A record of the final votes of each member of the Commission in every Commission proceedings concluded after July 1, 1967.
Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public.
Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW--Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act (17 CFR part 285).
Periodic reports filed by the Inter-American Development Bank, pursuant to Regulation IA (17 CFR part 286) adopted pursuant to section 11(a) of the Inter-American Bank Act.
Periodic reports filed by the Asian Development Bank, pursuant to Regulation AD (17 CFR part 287) adopted pursuant to section 11(a) of the Asian Development Bank Act.
Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy.
Statements of policy and interpretations which have been adopted by the Commission and are not published in the Federal Register.
Administrative staff manuals and instructions to the staff that affect a member of the public.
Reports by the Commission to the Congress as a whole.
Notices of Commission meetings announced to the public as described in Sec. 200.403; announcements of Commission action to close a meeting, or any portion thereof, as described in Sec. 200.404(b) and Sec. 200.405(c); and certifications by the General Counsel, pursuant to Sec. 200.406, that a Commission meeting, or any portion thereof, may be closed to the public. [41 FR 44696, Oct. 12, 1976, as amended at 42 FR 14693, Mar. 16, 1977; 76 FR 71874, Nov. 21, 2011] Sec. 200.80b Appendix B--SEC releases.
Free mailing list distribution of releases has been discontinued by the Commission because of rising costs and staff limitations. However, the texts of all releases under the various Acts, the corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be purchased through the Superintendent of Documents as described in Sec. 200.80c of this part. The Statistical series releases are contained in the SEC Monthly Statistical Review, which also can be obtained by purchase through the Superintendent of Documents. [40 FR 1009, Jan. 6, 1975, as amended at 49 FR 12686, Mar. 30, 1984; 52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987] Sec. 200.80c Appendix C--Rules and miscellaneous publications available from the Government Printing Office.
(a) The current rules of the Commission are not published by the Commission in pamphlet form. All SEC public rules and regulations, including its Rules of Practice, are contained in title 17 of the Code of Federal Regulations, which also is available for purchase from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. New rules and rules changes, and other Commission releases, except statistical releases, also are published in the Federal Register as they are adopted.
(b) Copies of the following miscellaneous publications may be purchased from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. Please address to him directly all inquiries, orders and payments concerning the following publications:
1. Reports.
SEC Annual Report to the Congress.
2. Periodicals.
Official Summary. A monthly summary of securities transactions and holdings reported under the provisions of the Securities Exchange Act of 1934, and the Investment Company Act of 1940 by officers, directors, and certain other persons. SEC Monthly Statistical Review. A monthy publication containing data on round-lot and odd-lot share volume in stock exchanges, OTC volume in selected securities, block distributions, securities registrations and offerings, net change in corporate securities outstanding, working capital of U.S. corporations, assets of non-insured pension funds, Rule 144 filings and 8K reports. Directory of Companies Filing Annual Reports with the Securities and Exhange Commission under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by industry groups according to the Standard Industrial Classification Manual of the Bureau of the Budget. [40 FR 1010, Jan. 6, 1975, as amended at 49 FR 12686, Mar. 30, 1984; 52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987; 76 FR 71874, Nov. 21, 2011] Sec. 200.80d Appendix D--Other publications available from the Commission.
(a) Limited amounts of the following materials among others are available free of charge upon request to the Commission's Publications Section, Public Reference Branch, 202-272-7460:
Work of the Securities and Exchange Commission.
Blank copies of all forms used under each of the Acts administered by the Commission.
(b) Facsimile copies of other SEC publications which are out of print may be obtained through the Commission's Public Reference Section, at the cost of the copying service to be performed by the commercial copier employed to do the copying. Purchasers of copies will be billed by the copier. An example of the publications which are available in this way is the Litigation Actions and Proceedings Bulletin. [52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987] Sec. 200.80e Appendix E--Schedule of fees for records services.
Search and review services: Up to one half hour total--No fee. For each one half hour or fraction thereof of chargeable service--up to GS-11 employee performing service: $8.00; GS-12 or above employee performing service: $14.00. Attestation with Commission seal: $4.00 Duplication services: The following duplication services are available. The stated time for delivery in each case begins to run only after receipt of the material by the contractor; if files cannot immediately be made available by the Commission, the time of shipment will be affected.
Regular service. Paper copies of original paper copies, or from microfiche accessible to the contractor, will be shipped within seven calendar days after the contractor receives the order and material at $0.24 per page, exclusive of any applicable shipment cost and sales taxes. Other services. The Commission's dissemination contractor also provides a wide range of additional regulated dissemination services through the Commission's public reference room. Two offsite services also are provided at prices that are regulated: microfiche subscriptions and watch services. Information concerning the availability of all dissemination services may be obtained by writing to the Commission's public reference room located at 100 F Street, NE., Washington, DC 20549 or calling 202-551-8090. Copies made pursuant to requests submitted to the Commission's public reference room will be filled by the contractor and sent directly to the purchaser, unless attestation is requested. The contractor will bill the purchaser directly for the cost of copies plus postage or other delivery charges, and applicable taxes. Purchasers shall make full payment directly to the contractor for these services. Search, review or attestation charges will be billed separately by the Commission. [52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987, as amended at 55 FR 41189, Oct. 10, 1990; 57 FR 48970, Oct. 29, 1992; 58 FR 64120, Dec. 6, 1993; 73 FR 32225, June 5, 2008] Sec. 200.80f Appendix F--Records control schedule. ------------------------------------------------------------------------
File No. Type of filing Retention period------------------------------------------------------------------------
Securities Act of 1933------------------------------------------------------------------------2-33 Registration statements and 30 years.
amendments thereto (Regulation C).2-33 Periodic reports (annual, 30 years.
quarterly, current, and proxy
material).9- Notice of proposed resale of 21 years.
restricted securities and resale
of securities by control persons
(Form 144).15- Notice of sale of securities 6 years.
pursuant to Rule 242 (Form 242).
(Obsolete).18- Applications for exemption from 10 years.
section 5 registration for
interests or participations issued
in connection with Keogh Plans
(section 3(a)(2)).19- Notice of sale of securities 6 years.
pursuant to section 4(6) of the
Securities Act of 1933 (Form
4(6)). (Obsolete).20- Offering sheets for oil or gas 15 years.
royalties--Regulation B (Schedules
A, B, C).20- Reports of sale (accorded 7 years.
confidential treatment) (Form 1-G).20- Reports after termination of 7 years.
offering (Form 3-G).21- Notice of sale for offerings under 6 years.
Regulation D and section 4(6)
(Form D).24- Notification of exemption from Until completion
registration (Regulation A). or termination of
offering plus 10
years or order of
the Commission
permanently
suspending
exemption,
whichever comes
first.29- Report of issuers of sale of 6 years.
securities deemed not to involve
any public offering (Form 146).
(Obsolete).92- Application for relief from Until when final
disability (Regulation A). action on appeal
is taken plus 10
years.94- Notification of exemption for 10 years.
assessment or assessable stock
(Regulation F).95- Notification of exemption for Until completion
securities issued by a small or termination of
business investment company offering plus 5
(Regulation E). years or until
order of
Commission
permanently
suspending
exemption,
whichever comes
first.96- Application for relief from Until final action
disability (Regulation F). on appeal is
taken plus 5
years.98- Notice of proposed sale by non- 6 years.
controlling person of restricted
securities of issuers which do not
satisfy all of the conditions of
Rule 144.100- Notification of exemption pursuant 6 years.
to Rule 236.------------------------------------------------------------------------
Securities Exchange Act of 1934------------------------------------------------------------------------0-1 Registration statements (sections 30 years.
12(b) and 12(g), exemptions
thereunder).0-1 Periodic reports (annual, 30 years.
quarterly, current and proxy
materials).3- Applications for continuance in 10 years.
membership and applications for
review of disciplinary actions
(self-regulatory organizations).4-281 Consolidated quotation system plan For as long as
and amendments. plan remains
approved plus 6
years.4-208 Intermarket trading system plan and For as long as
amendments. plan remains
approved plus 6
years.5- Acquisitions, tender offers and 20 years.
solicitations.6- Reports of beneficial ownership of 6 years.
securities (Forms 3, 4, & 5).7- Applications for permission to 10 years.
extend unlisted trading privileges
and related applications pursuant
to Rule 12(f).8- Applications for registration as For as long as
broker, dealer, municipal broker-dealer is
securities broker, or government registered with
securities broker or dealer and the Commission
related reports. plus 50 years.8-00-2A Annual audit report (fiscal or For as long as
calendar year basis) (Form X-17A- broker-dealer is
5). (Non-public) Supplemental registered with
report detailing Securities the Commission
Investor Protection Corporation plus 13 years.
assessment payment or overpayments
(Rule 17a-5). (Non-public).8-00-2A-19 Reports of changes in membership of For as long as
any of its members required of broker-dealer is
national securities exchanges and registered with
registered national securities the Commission
associations (Form X-17A-19). plus 6 years.
(Public).8-00-3X Examination/inspection reports of
brokers and dealers, investment
companies and investment advisors
1. Exam reports:
a. Home Office.................... 13 years.
b. Regional Offices............... 13 years.
2. Exam workpapers................ 13 years.8-00-9 Uniform application for securities For as long as
and commodities industry broker-dealer is
representative and/or agent; registered with
certification for associated the Commission
persons engaged in securities plus 50 years.
activities outside the
jurisdiction of the United States;
annual assessment form for
registered brokers and dealers not
members of a registered national
securities association (Forms U-4,
SECO 2-F, SECO-4, 5).8-2A10 Annual report of revenue and 10 years.
expenses filed by exchange
members, brokers and dealers (Form
X-17A-10). (Obsolete).8-2A12 Report by registered brokers and 6 years.
dealers who are over-the-counter
market makers in any OTC margin
securities (Form X-17A-12).8-2A16(1), - Notification by qualified market 6 years.
2A16(2) makers at least five business days
before such broker-dealers obtain
third market maker exempt credit
pursuant to Regulation U; and
quarterly report by broker and
dealer, who during a calendar
quarter is or has been qualified
as a third market maker (Forms X-
17A-16(1); X-17A-16(2)) (Obsolete).8-2A17 Quarterly report filed by every 6 years.
broker-dealer block positioner who
has filed a notice pursuant to
paragraph (a) of Rule 17a-17 (Form
X-17A-17) (Obsolete).10- Applications by an exchange for For as long as
registration as a national exchange is
securities exchange. registered with
the Commission
plus 6 years.13- Applications for listing securities 10 years.
on an exempted exchange, periodic
reports.14- Annual reports of issuers having 10 years.
securities listed on an exempted
exchange.16- Application for registration as a For as long as
national securities association or association is
affiliated securities associations. registered with
the Commission
plus 6 years.17- Reports on stabilizing activities 6 years.
(Form X-17A-1). (Obsolete).23- Applications for exemption pursuant Until closed plus
to paragraph (g) of Rule 11Aa3-1. 6 years.26- Plans by exchanges authorizing For as long as
payment of special commission in exchange is
connection with a distribution of registered with
securities on exchanges (Rule 10b- the Commission
2(d)). plus 50 years.27- Applications for exemption from 10 years.
section 13(f).28- Reports by institutional investment 4 years.
managers of information with
respect to accounts over which
they exercise discretion. (Form
13F).80- Annual and supplemental reports of Indefinitely
Municipal Securities Rulemaking (contingent).
Board (Rule 17a-21).81- Exemptions from registration under 10 years.
section 12(g).82- Exemptions--American depositary 10 years.
receipts.83-1 Periodic reports and related 3 years.
correspondence by the Inter-
American Development Bank.83-2 Periodic reports by the Asian 3 years.
Development Bank.84- Application for registration as a For as long as
transfer agent (non-bank) and transfer agent is
amendments thereto. registered with
the Commission
plus 50 years.85- Application for registration as a For as long as
transfer agent (bank) and transfer agent is
amendments thereto (Form TA-1). registered with
the Commission
plus 50 years.86- Application for registration as a For as long as
municipal securities dealer which municipal
is a bank or separately securities dealer
identifiable department or is registered
division of a bank (Form MSD). with the
Commission plus
50 years.87- Application for registration as a For as long as
securities information processor securities
and amendments thereto (Form SIP). information
processor is
registered with
the Commission
plus 50 years.88- Application for exemption as a For as long as
securities information processor securities
correspondence. information
processor is
registered with
the Commission
plus 50 years.89- Waiver for foreign issuers 10 years.
furnished by American depositary
receipts; waiver of information
furnished by American depositary
receipts regarding foreign issuers
for Form F-6; waiver of Rule 12g3-
2(b) reporting requirements,
annual reports to shareholders, F-
6 waiver, proxy.89- Other waivers for foreign issuers 3 years.
furnished by American depositary
receipts..128-8 Reports of disciplinary actions by 6 years.
stock exchanges (Rule 19d-1).205-3c Reports of disciplinary actions by 6 years.
NASD (Rule 19d-1).500- Suspension of trading of securities 10 years.
other than on a national
securities exchange.600- Applications for registration as a For as long as
(non-bank) clearing agency; clearing agency
amendments thereto. is registered
with the
Commission plus
50 years.600-9 Reports of disciplinary actions by 6 years.
clearing agencies (Rule 19d-1).
601- Applications for exemption from For as long as
registration as a (non-bank) clearing agency
clearing agency. has reporting
requirements with
the Commission
plus 20 years.SR Proposed rule changes and notice as For as long as
to stated policies and self-regulatory
interpretations by self-regulatory organization is
organizations. registered with
the Commission
plus 6 years.XX Reports for missing, lost or Indefinitely.
counterfeit securities (Form X-17F-
1A).------------------------------------------------------------------------
Trust Indenture Act of 1939------------------------------------------------------------------------22- Statements of eligibility and Until indenture is
qualification of corporations or terminated or
individuals as trustees under cancelled plus 30
qualified indenture under which years.
debt security has been or is to be
issued and exemptions thereto.25- Applications relative to Until applicable
affiliations between trustees and indenture is
underwriters (Rule 10b-3). terminated or
cancelled plus 33
years.93- Reports of indenture trustee to 1 year.
indenture security holders with
respect to eligibility and
qualification under Section 310.------------------------------------------------------------------------
Investment Advisers Act of 1940------------------------------------------------------------------------801- Application for registration as For as long as
investment adviser and related investment
correspondence. adviser is
registered with
the Commission
plus 9 years.803- Application for exemption from For as long as
registered and other relief. investment
adviser conducts
business under an
exemption plus 6
years.------------------------------------------------------------------------
Investment Company Act of 1940------------------------------------------------------------------------90- Notice of sales of securities by 6 years.
closed-end issuers (issuers with
100 or less beneficial owners)
other than investment companies,
registered or required to be
registered.811- Notifications and registration For as long as
statements. registrant is
registered with
the Commission
plus 30 years.811- Periodic reports (annual, 10 years.
quarterly, semi-annual, proxy
material).812- Applications for exemption and 10 years.
other relief.812- Application by foreign management For as long as
investment companies for order registrant has
permitting registration. reporting
requirement with
the Commission
plus 33 years.813- Applications for exemption of an For as long as
employee's security company registrant has
(Section (b)). reporting
requirement with
the Commission
plus 33 years.814- Notice of intent to elect to be 2 years from
subject to sections 55 and 65. filing date.814- Notification of withdrawal of 2 years from
election to be subject to sections filing date.
55 through 65.814- Notification of election to be 30 years or for as
subject to sections 55 through 65. long as a class
of the issuer's
equity securities
is registered
under the
Securities
Exchange Act of
1934 plus 10
years, whichever
comes first.816- Request for advisory report re 6 years.
reorganization of registered
investment company (17 CFR
270.02), and related
correspondence.817- Report of repurchase of securities 6 years.
by closed-end investment company.818- Sales literature regarding 6 years.
securities of certain investment
companies.819- Statement of the Federal Savings 6 years.
and Loan Corporation relating to
the exemption of certain issuers.820- Reports showing that companies have 6 years.
complied with requirements of the
rule in purchasing new issues of
securities from underwriters.821- Reports by registered small 10 years from date
business investment companies and of such
affiliated banks, with respect to action(s).
investments.------------------------------------------------------------------------
Miscellaneous Files and Reports------------------------------------------------------------------------3- Disciplinary proceedings (broker- 25 years.
dealer and investment adviser).3- Administrative proceeding stop For as long as
orders. registrant has
reporting
requirement with
the Commission
plus 30 years.4- 102(e) proceedings (previously 2(e) 25 years.
proceedings) (chaned to 3-).4- Miscellaneous studies, general 25 years.
conferences, roundtable, etc.,
authorized by the Commission.111- Federal government agencies 30 years.
miscellaneous correspondence.
119- Securities violation files Until date of last
(information regarding persons reported action
against whom actions were reported plus 10 years.
on charges of violating state or
federal laws in the purchase and
sale of securities.122-2 Members of Congress (inquiries 1 year after
relating to various subjects). expiration of
term in office.122-3 Correspondence and other materials 30 years.
between the various Senate
Committees and the Commission.122-4 Correspondence and other materials 30 years.
between the various House
Committees and the Commission.122-6 Correspondence and other materials 30 years.
between Congressional Commissions
and Joint Committees and the
Commission.123-13 Correspondence relating to the 30 years.
development of a Canadian
Extradition Treaty.124- Stock exchanges (General For as long as
Correspondence). exchange is
registered with
the Commission.124-1 Legislation and Laws: Drafts and 30 years.
comments concerning suggested
amendments to the various Acts
administered by the Commission.124-6124-11124-20124-7, 124-7a Subject files--Drafts, comments and 30 years.
correspondence concerning proposed
legislation submitted by the
Senate and the House to the
Commission for comment.124-7b Drafts of bills not yet reported in 30 years.
Congress that are submitted to the
Commission for comment.132-3 General Correspondence--Active 10 years.
companies. Inquiries and
complaints concerning companies
registered under the various Acts
administered by the Commission.132-3 General Correspondence--Inactive 6 years.
companies (no longer required to
file reports with the Commission).
Inquiries and complaints
concerning companies registered
under the various Acts
administered by the Commission.132-3 General Correspondence-- 6 years.
Miscellaneous. Requests for
interpretation of rules and
regulations under the Acts
administered by the Commission.140- Drafts, internal memoranda, 30 years.
correspondence concerning rules
and regulations under each of the
Acts administered by the
Commission.206-, 207- to Reorganization proceedings under 30 years.
215-, 917- Chapters IX, X, XI of the
Bankruptcy Act in which the
Commission participates.265- Advisory Committees established by 30 years.
the Commission (correspondence,
questionnaires, reports).Confidential Periodic reports and other 10 years.
treatment materials containing contracts,
materials commercial and financial
information, disclosure of which
would impair the value thereof,
submitted under confidential cover.CHR SEC Chairman's Subject Case Files.. 20 years.CHR SEC Chairman's Chronological Files Chairman's tenure
for Period 1972 to Present. in office plus 3
years.CHR SEC Chairman's General Subject File Chairman's tenure
in office plus 3
years.COMM SEC Commissioners' Files (excluding Commissioner's
Chairman), 1934 to Present. tenure in office
plus 1 year.ENF Investigative Case Files--Closed... Until closed plus
25 years.ENF Investigative Case Files--Inactive. Until inactive
plus 25 years.LIT Litigation files: ..................
1. Briefs......................... 25 years.
2. File contents other than briefs 10 years.S7 Issuance, amendment or rescission 30 years
of rules under the various Acts-- (permanent).
public comments and views,
transcript of hearings,
correspondence.XX Reports of internal inquiries: ..................
1. Supporting documentation....... Until date of
final action plus
5 years, if no
report is issued,
or until date of
final report plus
5 years.
2. Final reports.................. 5 years.------------------------------------------------------------------------ [60 FR 50091, Sept. 28, 1995, as amended at 76 FR 71874, Nov. 21, 2011]