|Submitted||April 13, 2019|
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To Whom It May Concern:
Pursuant to the Freedom of Information Act, I hereby request the following records:
I would like to obtain any documents, memos, updates, or publications that detail how long it takes for the SEC Whistleblower Process to be completed. I am looking to obtain any documents similar in nature to the IRS' publication here: https://www.kkc.com/assets/site_18/p5251%20(1).pdf
The IRS publication clearly shows timeline information for things such as "Intake / initial Review", "Subject Matter Expert (SME)", "Field Examination", Etc
I would like to obtain any similar documents and information to the SEC's Whistleblower Office, which currently, does not publish this guidance information.
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.
Attached is the final response to this FOIA request. Please let me know if you have any questions.
Counsel to the Chief FOIA Officer
Office of Support Operations
U.S. Securities & Exchange Commission
To Whom This May Concern,
I would like to appeal this determination. In the 2018 Annual Whistleblower Report and Proposed Rules Changes, the SEC and OWB dedicated substantial language to addressing the 'backlog' of claims.
Logically, the SEC would not have made such statements or Proposed Rule Changes if it did not first quantify the backlog in some manner. I would like the documents, records, memos, calculations, or other information detailing the timeline for items such as:
-Average time from Whistleblower tip to enforcement action;
-Average time from Whistleblower claim to preliminary determination;
-Average time from preliminary determination to final order;