SEC Whistleblower Internal Records
| Tracking # |
18-01137-FOIA |
| Submitted | Feb. 20, 2018 |
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Communications
From: Taylor Scott 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 to obtain copies of any documents, memos, instructions, manuals, policies, procedures, or other informational material that details the process for processing Whistleblower claims from January 1, 2015 to Present Day.
Specifically, I would like documents that shed light on:
1.) What do SEC staff do once they receive a completed Form WB-APP? (Based on information obtained from SEC staff, there is likely a "checklist" or manual of things to do once a Form WB-APP is received. I would like a copy of any such checklist or process manual that shows what steps the SEC staff take when they receive a Form WP-APP).
2.) What steps are necessary for a "preliminary determination" do be issued. (Once again, based off information obtained from SEC staff and the annual Whistleblower reports, there is a "checklist" or manual of things that must be done before a "preliminary determination" can be made and sent to a Whistleblower. I would like a copy of the documents detailing the actions that are taken and who is responsible for those actions).
3.) Documents detailing when the Office of the Whistleblower staff are required to respond to a Whistleblower, such as when adding new information as a supplement to previous tips.
4.) Any documents or correspondence discussing whether or not the OWB has authority to grant expedited processing to certain Whistleblowers.
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,
Taylor Scott Amarel
From: Securities and Exchange Commission
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Feb. 20, 2018. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #18-01137-FOIA.
Thanks for your help, and let me know if further clarification is needed.
From: Securities and Exchange Commission
To Whom It May Concern:
This is in response to your status inquiry below with regard to the processing of FOIA Request No. 18-01137-FOIA (attached).
I am presently coordinating with the SEC's Division of Enforcement to determine if any responsive records exist. As soon as I complete my coordination, I will apprise the requester accordingly.
Please let me know if you have any further questions.
Yours,
Mark Siford
Counsel to the Director
Office of Support Operations
U.S. Securities & Exchange Commission
(202) 551-7201
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From: Securities and Exchange Commission
Mr. Amarel,
Attached is the final response to this FOIA request. Please contact me if you have any questions.
Yours,
Mark Siford
Counsel to the Director
Office of Support Operations
U.S. Securities & Exchange Commission
(202) 551-7201
From: Taylor Scott Amarel
Thank you.
From: Securities and Exchange Commission
To Whom It May Concern,
Per the attached, a final response was issued yesterday. Please let me know if you have any further questions.
Mark Siford
(202) 551-7201
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Request No. 18-01137-FOIA (SEC whistleblower process)
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