The purpose of this guidance is to describe the basic processes and procedures for FOIA liaisons and staff of SEC divisions and program offices to assist the FOIA Office staff in processing requests under the Freedom of Information Act (5 U.S.C. 552) and Privacy Act (5 U.S.C. 552 a). The Commissions’ FOIA and Privacy Act regulations, 17 CFR 200.80 and 17 CFR 200.300, may be accessed via the FOIA page on the INSIDER. For your convenience, links to these materials and others can be found in the attachments to this guidance.

NOTE: This guidance document is not an all-inclusive guide to FOIA processing. Rather, it provides the most basic information and guidance needed by all FOIA Liaisons to be able to perform the role within the division or program office. Always contact the FOIA Research Specialist assigned to a request for more information regarding the processing of the request referral.

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 Securities and Exchange Commission’s FOIA/PA Work Procedure Manual, August 29, 2011 [29 Pages, 0.8MB]

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