Securities and Exchange Commission (Portal Security Audit)

Dear Mr. Patrick Mackie,

As a practice, we ask all requestors to agree to pay a minimum amount of $61.00 before the processing of any request for records can begin. If the fees will be greater or less than $61.00 the specialist assigned to your request will advise you of those fee changes.

For more information, please visit our website. https://www.sec.gov/foia/feesche.htm

Thank you,
Office of FOIA Services
Securities and Exchange Commission
(202) 551-7900

None

Mr. Mackie,

We are still consulting with other staff regarding any responsive records to your request. We hope to have a response to you soon.

If you have any further questions, please contact me directly at osbornes@sec.gov<mailto:osbornes@sec.gov> or (202) 551-8371.

Thanks.

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>

Mr. Mackie,

We are still consulting with other staff regarding any responsive records to your request. We hope to have a response to you soon.

If you have any further questions, please contact me directly at osbornes@sec.gov<mailto:osbornes@sec.gov> or (202) 551-8371.

Thanks.

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>

Good morning, Mr. Mackie,

We are still consulting with other staff regarding any responsive records to your request. We hope to have a response to you soon.
Thanks,

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>

Mr. Mackie,

We are still consulting with other staff regarding information that may be responsive to your request. Although we cannot estimate the completion date at this time, we hope to complete your request shortly.

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

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>

Mr. Mackie,

Can you please give me a call at your earliest convenience to discuss the attached FOIA request that you filed with the SEC? My office number is 202-551-6249. Thanks.

Ray McInerney
FOIA Branch Chief
U.S. Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Room 2740, Station Place 2
Washington, DC 20549
Direct: 202-551-6249
Mobile: 202-304-6638
Email: McInerneyR@sec.gov<mailto:Ovallj@sec.gov>

Dear Mr. Mackie,

Thank you for your email. I wanted to let you know that we have confirmed that we do not have any records of "security audits" of the SEC's TCR Portal. The closest thing we could find has already been made publicly available, and can be located at the following link: https://www.sec.gov/oig/reportspubs/tcr-system-audit-observations.pdf. Although the record contained in the link was more of a program audit than a security specific audit, it is the only audit information we found. The IG's office redacted the record for public release, but if you want we can do a FOIA review to determine whether any FOIA exemptions are applicable.

Additionally, we are still consulting with other components of the SEC that may have records responsive to your request. For example, our Office of Information Security conducts security controls assessments and vulnerability assessments of certain SEC applications. While we do not necessarily consider those to be "security audits", and even if they were considered such they would most likely be protected from disclosure under FOIA exemptions 4, 5, 6, 7(C) and/or 7(E), we are working with the program offices to determine whether there are any records responsive to your request. Please let us know as soon as possible if you are interested in these types of records.

Lastly, we are taking a 10-workday time extension on your request. Under the FOIA, where there are "unusual circumstances" an agency may extend the time in which to respond to a request by an additional 10 working days. The unusual circumstances in this instance are: 1) the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request, and 2) the need for consultations with more than two SEC components.

Regards,
Ray

Ray McInerney
FOIA Branch Chief
U.S. Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Room 2740, Station Place 2
Washington, DC 20549
Direct: 202-551-6249
Mobile: 202-304-6638
Email: McInerneyR@sec.gov<mailto:Ovallj@sec.gov>

Mr. Mackie,

I am following-up with you with regards to the below email. Please advise as to how you would like to proceed with your request.
Thanks,

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>

Mr. Mackie,

Thank you for your response. We will proceed accordingly.

Sonja Osborne
FOIA Lead Research Specialist
Office of FOIA Services
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
Office: (202) 551-8371
E-mail: OsborneS@SEC.gov<mailto:OsborneS@SEC.gov>