SEC, Aug '22

Lewis Manning filed this request with the Securities and Exchange Commission of the United States of America.
Tracking #

22-02911-FOIA

22-02910-FOIA

22-02909-FOIA

22-02908-FOIA

22-02907-FOIA

22-02906-FOIA

Due Oct. 18, 2022
Est. Completion None
Status
Awaiting Response

Communications

From: Lewis Manning

To Whom It May Concern:

Pursuant to the Freedom of Information Act, I hereby request the following records:

1. Any warning letters sent by the SEC during the month of August 2022.

2. Any civil investigatory demand letters sent by the SEC during the month of August 2022.

3. Any letters sent to the SEC commissioner by a member of Congress or White House official during the month of August 2022.

4. Any letters sent by the SEC commissioner to a member of Congress or White House official during the month of August 2022.

5. Any FOIA requests to the SEC responded during the month of August 2022, and the responsive documents.

6. Any SEC OIG reports delivered during the month of August 2022.

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.

Sincerely,

Lewis Manning

From: Securities and Exchange Commission

Your request was successfully submitted and sent to the appropriate SEC division or office.
Back to form https://www.sec.gov/forms/request_public_docs

From: Securities and Exchange Commission

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From: Securities and Exchange Commission

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From: Securities and Exchange Commission

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From:

"Hello Mr. Manning,

This message concerns your attached FOIA request for SEC Warning Letters sent during August 2022. In order to help us direct your request to the appropriate SEC office, we need you to clarify “SEC Warning Letter.” Is there a specific topic or subject to which these letters would concern? Please provide any additional information that will assist in our search. Until then, we will place your request on hold.

Thank you.

Warren

Warren E. Jackson

Lead Research Specialist

Office of FOIA Services

Branch 5

U.S. Securities & Exchange Commission

100 F Street, NE – SP 2

Room 2802

Washington, DC 20549

jacksonw@sec.gov

(202) 551-8312"

From: Lewis Manning

I'm interested in understanding the total volume and scope of official letters sent by the SEC that in some way warn an outside entity of their potential non-compliance with SEC rules. I'm not very familiar with the SEC, so I'm not sure how best to narrow the request.

Alternatively, would it be less work to provide all official letters (eg. written on official letterhead) sent during August 2022? That might be more interesting to me and require less filtering by you.

To reduce your workload, I'm happy to narrow the request however you recommend.

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