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SEC FOIA/PA Program
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.
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. In addition to FOIA exemptions, there are three special protection provisions, referred to as record "exclusions." The FOIA exclusions are reserved for certain specified circumstances.
For additional information, click on the appropriate document:
From the President: Memorandum for the Heads of Executive Departments and Agencies on the Freedom of Information Act
From the Attorney General: Memorandum for the Heads of Executive Departments and Agencies on the Freedom of Information Act
FOIA Action Plan Under Executive Order 13392
FOIA Backlog Reduction Estimates
FOIA Public Liaisons
How to Make a FOIA or Privacy Act Request
Conventional and Electronic Reading Rooms
Major Information Systems
Frequently Requested FOIA Documents
SEC's FOIA Regulations
Schedule of Fees for
(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
SEC Annual FOIA Reports
Chief FOIA Officer Reports