SEC, Aug '22
| Tracking # |
23-00001-OIG 22-02911-FOIA 22-02910-FOIA 22-02909-FOIA 22-02908-FOIA 22-02907-FOIA 22-02906-FOIA |
| Submitted | Sept. 17, 2022 |
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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:
"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
(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.
From: Securities and Exchange Commission
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From: Securities and Exchange Commission
Good afternoon Mr. Manning,
We are processing your request for "[a]ny FOIA requests to the SEC responded during the month of August 2022, and the responsive documents." This request was assigned tracking number 22-02910-FOIA.
We need to request clarification of your request in order to identify the information of most interest to you. Are you interested in the response letters for just those requests where records were provided?
We respond to a high volume of FOIA requests where there is no information found and no records are provided to the requester. We receive between 10,000-13,000 requests per year, so our volume of outgoing final response letters for a single month may be 1,000 letters or more, including only interim and final response letters (not including acknowledgement letters, other types of administrative letters, emails, etc.). Further, these letters are only stored in each individual request file and would require an extensive manual search.
Depending on the information you are seeking, it might be possible to arrange for an alternative to the letters, such as a list of all requests that were closed during the time period of your request where records were provided.
Please let us know at your earliest convenience how you would like you proceed. We will place your request on hold until we hear back, and we would request that you please respond by Wednesday, November 2. We will be happy to work with you to determine the best way to provide the information you are seeking.
Thank you,
Carrie Hyde-Michaels
FOIA Branch Chief
U.S. Securities and Exchange Commission
Office of FOIA Services
hyde-michaelsc@sec.gov<mailto:hyde-michaelsc@sec.gov>
Direct: (202) 551-5816
From: Lewis Manning
Hello Carrie,
Thank you for the explanation, and I'm happy to narrow my request to reduce your workload. I would prefer to have a list of all closed requests and any responsive documents. If that would require an extensive manual search, I would like a list of all requests that were closed with responsive documents. If that would also require an extensive manual search, I would like a list of all requests along with their final disposition.
Please feel free to choose whichever of these options is most reasonable.
From: Securities and Exchange Commission
Good afternoon Mr. Manning,
Please see the attached FOIA response to the request you submitted to the SEC on September 19, 2022.
From: Securities and Exchange Commission
Good afternoon Mr. Manning,
Please see the attached FOIA response to the request you submitted to the SEC on September 19, 2022.
From: Securities and Exchange Commission
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From: Securities and Exchange Commission
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From: Securities and Exchange Commission
Mr. Manning,
Attached is the final response to your request. Please contact me if you have any questions.
Respectfully,
Mark Siford
Attorney Adviser
Office of FOIA Services
U.S. Securities & Exchange Commission
(202) 551-7201
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