FOIA Annual Report Workbook2017-10-17FOIA Annual ReportSECU.S. SECURITIES AND EXCHANGE COMMISSION201715 U.S.C. § 80b-4Reports by Investment AdviserN/A15 U.S.C. § 78x(d)Foreign Securities AuthoritiesN/A15 U.S.C. § 78u-6Information that could identify a whistleblowerN/A42 U.S.C. § 247d-6b(d)Information identifying the location of materials in the stockpile under subsecion (a) of this sectionN/A5 U.S.C. app. 3 § 7(b)Names of employees who provide information or complaints to the Inspector GeneralN/A15 U.S.C. § 77f (e)(2)Certain information contained in or filed with a securities registration statementN/A123311535651306313069559Variations from the FY2016 Annual FOIA report are due to opening and/or closing requests after the FY2016 report was generated.4562732736NoRecords5939Referred119Withdrawn398FeeRelated71NotDescribed71ImproperRequest81NotAgency59Duplicate120Other18113069Request opened in error181181This code is used when a request is merged into another request or when correspondence addressed to the SEC is inadvertently assigned a request control number.Ex. 24Ex. 355Ex. 4236Ex. 5273Ex. 6598Ex. 7(A)655Ex. 7(B)6Ex. 7(C)417Ex. 7(D)30Ex. 7(E)29Ex. 7(F)1Ex. 860362460522489385721605Ex. 32Ex. 43Ex. 556Ex. 627Ex. 7(A)363Ex. 7(C)33Ex. 7(E)1Ex. 81NoRecords12Withdrawn1NotDescribed1Duplicate1ExpeditedDenial2Other4Moot1Untimely34819.42LT13902016-12-151992017-01-121812017-01-131802017-01-271712017-03-071452017-05-021052017-05-081012017-05-081012017-05-23902017-06-2170712.5LT1445786733309101614.512.75418Due to a system limitation the chart in this section may contain information about unperfected requests.915.91LT1445786773.564491611111111Due to a system limitation the chart in this section may contain information about unperfected requests.1-201114821-40131541-6028361-8013181-10076101-12041121-14025141-1602161-18016181-2004201-30010301-4003401+1130551-20021-40041-60061-80081-1000101-1200121-1400141-1600161-1800181-2000201-3000301-4001401+9101-20121-40341-60061-80081-1000101-1200121-1400141-1600161-1800181-2000201-3000301-4000401+0455142181991990Due to a system limitation, the chart in this section may contain information about unperfected requests.2014-01-289232014-02-049182015-01-266752015-02-066662015-02-116632015-03-306312015-07-155562015-09-085092016-05-043542016-06-15325The Date of Receipt was revised to correct a reporting discrepancy in the FY2016 Annual Report. The requests in positions 1 and 4, above, were in positions 5 and 10, respectively, in the FY16 Annual Report.438723.73769237311.5334.56.4740.977895241381224827646535025.150.00449152665573731301212014475130631519913069Variations from the FY2016 Annual FOIA report are due to opening and/or closing requests after the FY2016 report was generated.9473Variations from the FY2016 Annual FOIA report are due to opening and/or closing requests after the FY2016 report was generated.653624667605213