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SEC FOIA/PA Program
The Freedom of Information & Privacy Act Office:
What It Is, What It Does

The SEC FOIA/PA Office is located at the following address:

Securities and Exchange Commission
Office of FOIA and Privacy Act Operations
100 F Street, NE
Washington, DC 20549-5100

Phone: 202-551-8300
Fax: 202-772-9336
e-mail: foiapa@sec.gov

The Freedom of Information Act (FOIA), which can be found in Title 5 of the United States Code, section 552, was enacted in 1966 and provides that any person has the right to request access to federal agency records or information. All agencies of the United States government are required to disclose records upon receiving a written request for them, except for those records that are protected from disclosure by the nine exemptions and three exclusions of the FOIA. This right of access is enforceable in court.

The Privacy Act of 1974, which can be found in Title 5 of the United States Code, section 552a, establishes safeguards for the protection of records the Government collects and maintains on United States citizens and lawfully admitted permanent residents.

Records You Can Obtain

The Securities and Exchange Commission (SEC) maintains public and non-public records. Public records, such as registration statements and reports filed by regulated companies and individuals, SEC decisions and releases, staff manuals, no-action and interpretive letters, and public comments on proposed rules, are available through the Public Reference facilities located at SEC Headquarters (Conventional and Electronic Reading Rooms). Most public filings since 1995, SEC releases since September 1995, and other public records are also at the SEC web site http://www.sec.gov. You need not send a FOIA request to obtain public records.

A FOIA request is required to obtain non-public records, such as records compiled in investigations, consumer complaints, and staff comment letters. We will release non-public records, unless the record is protected by one of nine FOIA exemptions. If we can reasonably segregate or delete exempt information from a requested record, we will release to you the rest of the record.

For additional information, click on the appropriate document:

  FOIA Action Plan Under Executive Order 13392
* August 2008 Update to FOIA Action Plan Under Executive Order 13392

FOIA Backlog Reduction Estimates
FOIA Public Contacts
How to Make a FOIA or Privacy Act Request
Conventional and Electronic Reading Rooms
Government Information Locator Services for SEC Systems
Frequently Requested FOIA Documents

   * Schedule of Fees for
* Records Services

* (see also 17 CFR 200.80(e))


   * SEC FOIA Regulations
* (17 CFR 200.80;
* 17 CFR 200.83)



   * SEC Privacy Act Regulations
* (17 CFR 200.301 –
* 17 CFR 200.312)

   * SEC Confidential Treatment
* Procedure Under Rule 83


 
   *  2007 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2007)


   *  2006 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2006)


   *  2005 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2005)


   *  2004 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2004)


   *  2003 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2003)


   *  2002 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2002)


   *  2001 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2001)


   *  2000 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 2000)


   *  1999 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 1999)


   *  1998 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 1998)


   *  1997 FOIA Annual Report
     (for the Fiscal Year Ending
     September 30, 1997)


 

http://www.sec.gov/foia.shtml


Modified: 08/05/2008