SEC OWB Preliminary Determination Reviews By SEC Commissioners

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


18-00534, 18-00263-APPS




From: Taylor Amarel

To Whom It May Concern:

This is a request under the Freedom of Information Act. I hereby request the following records:

I would like all documents, records, memos, scripts, logs, etc, pertaining the any and all requests by SEC Commissioners to review a preliminary Whistleblower determination from January 1, 2015 to Present day. I would like to know and receive any documents that shed light on the number of times at least one SEC Commissioner has requested the review of a Preliminary Determination, whether or not there are "guidelines" for commissioners requesting reviews (such as commissioners requesting reviews for large Whistleblower awards), the date in which the Preliminary determinations to the commissioners and the date in which a review of the preliminary determination was requested, etc. Furthermore, please provide the identities of the commissioners who are or are not requesting the reviews. I am not asking you to create documents or records, but I would like any records that pertain to the information discussed above.

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.


Taylor Amarel

From: Securities and Exchange Commission

From: Taylor Amarel


Could you give me an estimate on the number of days remaining for this request or the number of expected results (pages) that are being reviewed?

Thank you,
Taylor Amarel

From: Securities and Exchange Commission

Mr. Amarel,

Thank you for your e-mail. We are consulting with other SEC staff regarding your request. As soon as we complete our consultation, we will notify you of our findings.

In the interim, if you have any questions, feel free to contact me.


Jason Luetkenhaus
Lead FOIA Research Specialist
U.S. Securities and Exchange Commission
Office of Support Operations
100 F. Street, N.E. Mail Stop 2736
Washington, DC 20549
(202) 551-8352 (W)
(202) 772-9337 (F)<>

From: Securities and Exchange Commission

From: Taylor Amarel

To whom this may concern,

I respectfully appeal this determination based on the fact the there is no way the SEC OWB or the SEC Commissioners can conduct their Dodd-Frank Whistleblower responsibilities without generating any records that matched my description. Indeed, through the past annual Whistleblower reports, the SEC had admitted to the existence of policies and records that would be applicable to my request.

Taylor Scott Amarel

From: Securities and Exchange Commission

From: Securities and Exchange Commission

The request has been rejected by the agency.