Whistleblower Complaints Designated NFA

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

17-00398- FOIA



From: Patrick Mackie

To Whom It May Concern:

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

A copy of each whistleblower complaint submitted to the SEC that has been designated "No Further Action" (NFA) from January 1st 2016 to the date this request is processed. I am requesting all complaints that have been designated NFA in that time frame.

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.


Patrick Mackie

From: foiapa

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

From: Patrick Mackie

I am entitled to two hours of search time and 100 pages of duplication without charge under FOIA (4)(A)(i)(iv)(II). I would like you to conduct a two hour search and after two hours of search notify me of any potential costs that may be accrued under my request.

If you would not like to let me know as I described above, I agree to pay up to $61 before being notified.

From: Neilson, Curtis


From: Osborne, Sonja

Good morning, Mr. Mackie.  Please see the attached response to a FOIA request you submitted to the SEC.