§ 200.307. Requests for an accounting of record disclosures.
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/us/cfr/t17/s§ 200.307·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)How made and addressed. Except where accountings of disclosures are not required to be kept or provided (as stated in paragraph
(e)of this section), requesters may ask the Commission to provide an accounting of a disclosure of a record about the requester that the Commission has made to another person, organization, or agency. The request for an accounting should identify each particular record in question and must be made in writing. The request may be submitted by email (foiapa\@sec.gov) or online at the Commission's website at https://www.sec.gov/forms/request\_public\_docs. A requester may alternatively submit a request for an accounting by mail to the Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549 or other mailing address or facsimile number published on the Commission's website at https://www.sec.gov/oso/help/foia-contact.html. Requests for accounting that are submitted by mail should include the words "PRIVACY ACT REQUEST" in capital letters at the top of the letter and on the face of the envelope.
(b)Verification of identity. Verification of the requester's identity as set forth in section 202.303(c) will be required before an accounting is given.
(c)Acknowledgement of requests for an accounting of record disclosures. The Office of FOIA Services will endeavor to acknowledge, in writing, receipt of a request for an accounting of record disclosures within 10 days of receipt of such a request (excluding Saturdays, Sundays, and Federal holidays). When a request for an accounting of record disclosures is made in person, the requester will be given a written acknowledgement when the request is presented. The acknowledgement will describe the request received and indicate when it is anticipated that action will be taken on the request.
(d)Time for acting on requests. The Office of FOIA Services will endeavor to respond to a request for an accounting of record disclosures within 30 days (excluding Saturdays, Sundays, and Federal holidays) from the date the request was received, unless the requester is notified in writing within the 30-day period that, for good cause shown, a longer period of time is required. In such cases, the requester will be informed in writing of the reasons for the delay and an indication will be given as to when it is anticipated that an accounting may be granted or denied.
(e)Grant of request of accounting. If it is determined that a request for an accounting will be granted, the requester will be advised in writing. When a request for access is granted, in full or in part, the information will be provided electronically, by mail, or in person at the requester's election.
(f)Denial of a request for accounting. If it is determined that the request will not be granted, the requester will be notified of that fact in writing and given the reasons for the denial. The requester also will be advised of his or her right to seek review by the Office of the General Counsel of the initial decision in accordance with the procedures set forth in § 200.308.
(g)Where accountings of record disclosures are not required. The Commission is not required to provide accountings of disclosures to requesters where they relate to:
(1)Disclosures made to officers and employees within the Commission and disclosures made under the FOIA, 5 U.S.C. 552;
(2)Disclosures made to law enforcement agencies for authorized law enforcement activities in response to written requests from those law enforcement agencies specifying the law enforcement activities for which disclosures are sought; or
(3)Disclosures made from law enforcement systems of records that have been exempted from accounting requirements.
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