Freedom of information act (foia) request no. 16 00032-fopa(1)(1)
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION STATION PLACE 100 F STREET, NE WASHINGTON, DC 20549-2736 Office of FOIA Services November 27, 2015 Mr. Michael D. Moore 15811 Raymond Ave. Gardena, CA 90247 Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552 Request No. 16-00032-FOPA Dear Mr. Moore: This letter is in reference to your request for a copy of complaint records filed by you, as mentioned in your email communications to Tina Churchman of this office, on November 5, 2015. Because the requested records fall within a system of records covered by the Privacy Act of 1974, we require a first- party authorization for continued processing. Please note that under the Privacy Act, 5 U.S.C. § 552a(b), “[n]o agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains…” In order to obtain the subject records, you must adhere to the SEC’s regulation at 17 C.F.R. § 200.303 pertaining to the release of records under the Privacy Act. To access 17 CFR 200.303 in its entirety you can go to: http://www.ecfr.gov/cgi-bin/text- idx?SID=ea8b1c224a2675227043dac91967ab45&node=17:3.0.1.1.1. 8.3.3&rgn=div8. Unless we receive an appropriate statement executed by yourself which expressly verifies your identity, we cannot process your request. In addition, please provide a copy of a photo identification. Please provide such documentation to this office NLT December 11, 2015. If we do not hear from you by that date, we will assume that you are no longer interested in the records and we will close your request without further notice to you. Enclosed please find a copy of the pertinent section from the Code of Federal Regulations.
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Transcript of Freedom of information act (foia) request no. 16 00032-fopa(1)(1)
UNITED STATESSECURITIES AND EXCHANGE COMMISSION
STATION PLACE100 F STREET, NE
WASHINGTON, DC 20549-2736
Office of FOIA ServicesNovember 27, 2015
Mr. Michael D. Moore 15811 Raymond Ave. Gardena, CA 90247
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552Request No. 16-00032-FOPA
Dear Mr. Moore:
This letter is in reference to your request for a copy of complaint records filed by you, as mentioned in your email communications to Tina Churchman of this office, on November 5, 2015.
Because the requested records fall within a system of records covered by the Privacy Act of 1974, we require a first-party authorization for continued processing. Please note that under the Privacy Act, 5 U.S.C. § 552a(b), “[n]o agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains…”
In order to obtain the subject records, you must adhere to the SEC’s regulation at 17 C.F.R. § 200.303 pertaining to the release of records under the Privacy Act. To access 17 CFR 200.303 in its entirety you can go to:
http://www.ecfr.gov/cgi-bin/text-idx?SID=ea8b1c224a2675227043dac91967ab45&node=17:3.0.1.1.1.8.3.3&rgn=div8.
Unless we receive an appropriate statement executed by yourself which expressly verifies your identity, we cannot process your request. In addition, please provide a copy of a photo identification.
Please provide such documentation to this office NLT December 11, 2015. If we do not hear from you by that date, we will assume that you are no longer interested in the records and we will close your request without further notice to you. Enclosed please find a copy of the pertinent section from the Code of Federal Regulations.
Mr. Michael D. Moore 16-00032-FOPANovember 27, 2015Page 2
If you have any questions, please contact Ms. Ollie Wade of my staff at [email protected] or (202) 551-8323. You may also contact me at [email protected] or (202) 551-7900.
Sincerely,
Jeffery Ovall FOIA Branch Chief
Enclosure
