FOIA Annual Report Workbook2016-10-14FOIA Annual ReportSECU.S. Securities and Exchange Commission201615 U.S.C. § 78q(h)(5)Associated persons of broker-dealers, government securities brokers or dealers, or municipal securities dealers.N15 U.S.C. § 78x(d)Foreign Securities AuthoritiesN15 U.S.C. § 78u-6Information that could identify a whistleblowerN42 U.S.C. § 247d-6b(d)Information identifying the location at which materials in the stockpile under subsection (a) of this section are storedN41 U.S.C. § 253b(m)(1) (currently at 41 U.S.C. 4702)Contractor proposals that are in the possession or control of an executive agency and that have not been set forth or incorporated by reference into contractsN15 U.S.C. § 77f (e)(2)Certain information contained in or filed with a securities registration statementN15 U.S. C. § 80b4Reports by Investment AdviserN5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978)Financial disclosure information pertaining to certain government employeesMeyerhoff v. EPA, 958 F.2d 1498, 1500-02 (9th Cir. 1992); Seife v. NIH, 874 F. Supp. 2d 248, 254 (S.D.N.Y. 2012); Concepcion v. FBI, 606 F. Supp. 2d 14, 33 (D.D.C. 2009), renewed motion for summary judgment granted in part on other grounds, 699 F. Supp. 2nd 106 (D.D.C. 2010); Glascoe v. DOJ, No. 04-0486, 2005 WL 1139269, at *1 (d.D.C. May 15, 2005)26 U.S.C. §§ 6103¸ 6105 (Internal Revenue Code)Certain tax return information, to include Taxpayer Identification Numbers of third parties, and certain tax convention informationChurch of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Leonard v. U.S. Dep't of Treasury, 590 F. App'x. 141, 143-44 (3d Cir. 2014) (per curiam); Pac. Fisheries, Inc. v. IRS, 395 F. App'x. 438, 440 (9th Cir. 2010) (unpublished disposition) (26 U.S.C. §§ 6103, 6105); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105)726421231112881445815196550*Variations from the FY2015 Annual FOIA report are due to opening and/or closing requests after the FY2015 report was generated.39699872170NoRecords6557Referred51Withdrawn204FeeRelated635NotDescribed68ImproperRequest81NotAgency77Duplicate234Other16315196Request opened in error *163163*This code is used when a request is merged into another request or when corresondence addressed to the SEC is inadvertently assigned a request control number.Ex. 11Ex. 24Ex. 378Ex. 4353Ex. 5284Ex. 6631Ex. 7(A)638Ex. 7(B)3Ex. 7(C)356Ex. 7(D)40Ex. 7(E)18Ex. 878176536673495387955667Ex. 22Ex. 34Ex. 414Ex. 581Ex. 630Ex. 7(A)336Ex. 7(C)30Ex. 7(D)2Ex. 7(E)1Ex. 83NoRecords9Withdrawn3FeeRelated26Duplicate7Other10Request Opened in Error*1Moot8Untimely Filed 110*This code is used when correspondence addressed to the SEC was inadvertently entered into the FOIA tracking software and assigned an appeal control number.724.28LT19392016-01-051882016-08-26242016-09-300716.49LT1669LT127.34LT18151010119*Due to a system limitation, the chart in this section may contain information about unperfected requests. 1122.89LT1669227.53471188152222*Due to a system limitation, the chart in this section may contain information about unperfected requests. 1-201190721-40187341-6066161-8026981-100120101-12098121-14038141-16033161-18030181-20016201-30059301-40017401+715128*Due to a system limitation, the chart in this section may contain information about unperfected requests. 1-205721-40241-60061-80081-1000101-1201121-1400141-1600161-1801181-2001201-3001301-4000401+164*Due to a system limitation, the chart in this section may contain information about unperfected requests. 1-20421-40041-60061-80081-1000101-1200121-1400141-1600161-1800181-2000201-3000301-4000401+04*Due to a system limitation, the chart in this section may contain information about unperfected requests. 54782437887520*Due to a system limitation, the chart in this section may contain information about unperfected requests. 2013-06-118302013-08-087892013-08-097882014-03-186392015-02-134112015-07-272982015-08-192812015-10-082462015-10-082462016-02-17159429625.382704727710.74349438078065134564821262941029.680.00519021910016891144581621015196*Variations from the FY2015 Annual FOIA report are due to opening and/or closing requests/appeals after the FY2015 report was generated.43490*Variations from the FY2015 Annual FOIA report are due to opening and/or closing requests/appeals after the FY2015 report was generated.49565350566762*Variations from the FY2016 Annual FOIA report are due to opening and/or closing requests/appeals after the FY2016 report was generated.