reported to the Commission pursuant to Rule 15b8-1(a) (2) (iii) under the Securities Exchange Act (17 CFR 240.15b8-1 (a) (2) (iii)). (7) Investigatory files compiled for law enforcement purposes except to the extent available by law to a party other than an agency, including those concerning or related to inspections or examinations of the books and records of any person and other investigations as authorized by law, which pertain to or may disclose the possible violation by any person of any provision of any of the statutes, rules, or regulations administered by the Commission; and all written communications from or to any person complaining of or otherwise furnishing information respecting such possible violations, as well as all correspondence and memoranda in connection with such complaint or information. (8) Contained in or related to examinations, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; and (9) Geological and geophysical information and data, including maps, concerning wells. (d) Requests for Commission records and copies thereof. Requests for Commission records may be made in person on Form SEC-86 during normal business hours at the public reference room at the principal offices of the Commission in Washington, D.C. Inquiries in general, and orders for copies of Commission records may be made to the public reference room personally, by telephone or by mail. (1) Each request for a Commission record or copy thereof shall identify the record with sufficient specificity with respect to names, dates and subject matter to permit it to be located among the records maintained by or for the Commission. A person who has made a request for a Commission record or copy thereof will be advised if further identifying information must be provided before his request can be filled. (2) A charge will be made for locating and making available for inspection or copying records requested by any one person only if more than one-half manhour of work is required to comply with his request. (3) Certain Commission records, such as correspondence to and from the Commission, are maintained in files which also contain nonpublic materials such as intra-agency and interagency memoranda and letters. If undue delay and expense is to be avoided, any person who wishes to examine such a record or to obtain a copy thereof should identify the letter or other similarly filed record with particular specificity. (4) No records will be made available, and no copy of any records will be provided to any person who has failed to pay appropriate fees for records services, as described in paragraph (g) of this section, with respect to any current or past records services obtained or requested. (e) Record availability subject to delay. Records generally will be made available to the public on a first-come, first-served basis. In some circumstances, however, there may be a delay in making records available or in providing copies thereof: (1) Records at Federal Records Centers. Many records of the Commission are stored in Federal Records Centers in accordance with law (including many of the documents which have been on file with the Commission for more than 2 years) and cannot be made available for several days after a request has been made. Any person who has requested for personal examination a record stored at the Federal Records Center will be notified when the record will be made available to him at the public reference room of the Commission. Any person who has ordered a copy of such record will be provided with a copy as soon as practicable. (2) Records in use. Any record being inspected by or copied for another member of the public will be made available as soon as practicable. Although every effort will be made to make a record in use by a member of the Commission or its staff available when requested, it may occasionally be necessary to delay making such a record available when doing so at the time the request is made would seriously interfere with the work of the Commission or its staff. When for reasons stated in this subparagraph (2) it appears that a record cannot be made available on the day it is requested, the person who made the request will then or thereafter be notified when the record will be made available to him at the public reference room of the Commission. Any person who has requested a copy of a record that is in use when the request is received will be provided with a copy as soon as practicable. (3) Missing or lost records. Any person who has requested a record or copy will be notified if the record sought cannot be found. If he so requests, he will be notified if it subsequently is located. (4) Inadequate description; requests for numerous records. If the records clerk finds that more than one-half manhour will be required on any one day to locate and make available for inspection records requested by a person, whether because of the inadequacy of identifying information provided, because of the aggregate number of records requested by him on that day, or for a similar reason, work in excess of one-half man-hour on that day will be contingent upon the availability of personnel and in accordance with an equitable allocation of time to all persons requesting records. Such additional work will also be subject to payment of fees in accordance with subparagraph (1) of paragraph (g) of this section. (f) Administrative review-(1) Rulings on availability or records. Any person may apply for a ruling by the Public: Information Officer of the Commission. or his designee with respect to any record which has not been made available upon. request and with respect to any copy of a record which has been requested but which has not been provided. Such application shall be in writing and will be given prompt attention. If the Public Information Officer finds that any provision of this section, or any rule or regulation referred to herein has not been applied properly to the applicant's request he shall direct proper compliance. (2) Petition for Commission action. Any person who has not received a record requested or a copy requested may, within 30 days after the Public Information Officer has acted upon his application for a ruling, petition the Commission for an order directing that the record be made available to him or that a copy of the record be provided, either for good cause shown or because such record may not lawfully be withheld. Such petition shall be in writing, shall identify the record in the form in which it originally was requested, shall state the date upon which the record was requested, and may state such facts and cite such authorities as petitioner may consider appropriate. (g) Fees for records services; schedule of fees. A current schedule of fees for records services, including locating and making records available, attestations, and copying as provided in this paragraph (g) is published by the Commission and may be obtained upon request made in person, by telephone or by mail from the public reference room or at any regional or branch office of the Commission. (1) Services requiring more than onehalf man-hour. A fee will be charged as provided in the Commission's current schedule of fees when more than onehalf man-hour of work is devoted to locating and making available for inspection or for copying records requested by a person, except that no such fee will be charged in connection with any record which is not made available because it is found to be nonpublic as described in paragraph (c) of this section, and no such fee will be charged for time devoted to an attempt to locate any record which, although adequately identified, is not made available because, after reasonable search, it cannot be located unless, after the person who requested the record or copy has been notified that it cannot be located, the search is continued beyond that time at his insistence. (2) Records obtained from Federal Records Centers. When, to fill a request for inspection or copying, records are required to be obtained from a Federal Records Center, fees, in addition to those provided in this paragraph (g), will be charged to the extent authorized or required by rules or regulations promulgated by the General Services Administration. (3) Attestations. In addition to any other fees or charges which may apply, a fee will be charged for records attestations as provided in the Commission's current schedule of fees. The seal of the Commission will be affixed to all attestations without additional charge. (4) Copying services. Photocopies of public records filed with or retained by the Commission, or portions thereof, will be provided subject to fees established by an annual agreement between the Commission and the private contractor. A person who has been provided with copies of records upon request will be billed by the contractor for his copying services at rates shown in the Commission's current schedule of fees. (5) Transcripts of public hearings. Copies of the transcripts of recent public hearings may be obtained from the reporter subject to the fees established by an annual agreement between the Com mission and the reporter. Copies of that contract, which contains tables of charges, may be inspected in the public reference room at the principal office of the Commission and in each regional and branch office. Copies of other public transcripts may be obtained, in the manner of other Commission records, subject to the charges referred to in subparagraph (4) of this paragraph (g). (1) (h) Releases and publications. The Commission's decisions, reports, orders, rules and regulations are published initially in the form of releases and distributed to the press and mailed to persons on the mailing lists to receive them. Certain decisions and reports thereafter are printed in bound volumes entitled "Securities and Exchange Commission Decisions and Reports;" these volumes may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. forth the result of the Commission's operations during the past fiscal year under the various statutes committed to its charge. Copies may be obtained from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402. (3) The Commission also makes other information in the fields of securities and finance, including economic studies, available to the public through the issuance of releases on specific subject matters. (4) A classification of the releases available from the Commission appears below as Appendix B to this section (17 CFR 200.80b). Other publications available from the Commission are set forth in Appendix C of this section (17 CFR 200.80c). Copies of statutes, rules and regulations, and miscellaneous publications set forth in Appendix D to this section (17 CFR 200.80d) may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. (2) The Commission publishes an annual report to the Congress which sets § 200.80a Appendix A-Documentary materials available to the public. SECURITIES ACT OF 1933 Description Registration statement providing financial and other in- 6. formation concerning securities offered for public sale, filed under Regulation C [17 CFR 230.400 et seq.]. Prospectuses (selling circulars) in connection with registration statement. Periodic reports (annual, semiannual, and current) to keep reasonably current the information in registration statement. 10. (1). Preliminary data (prospectus, circular letters, etc.) to 3(b). Notifications of exemption from registration filed under 3(b). Offering circulars and written advertisements or other 3(b). 3(b). Report of sales and use of proceeds (Regulation A and E) Application for relief from disability under Regulations 3(b). SECURITIES EXCHANGE ACT OF 1934 Registration statement (securities listed on a national 12(b). securities exchange). Registration statement (securities traded over the 12(g). counter). Exemption from section 12(g), 13, 14, 15, or 16- 1 Section 15(d)—Securities Exchange Act of 1934. 12(h). Pursuant to section Pursuant to section SECURITIES EXCHANGE ACT OF 1934-Continued Description Information by a foreign issuer temporarily exempt from 12(g) (3). section 12(g). Certification of exchange approving securities for listing 12(d). registration. Periodic reports (annual, semiannual, quarterly, and current) to keep current the information in above application for registration of securities. Notices of suspension of trading- 13(a). 12(d). 12(d). Application to withdraw or strike a security from list- Definitive proxy soliciting material filed under Regula- 14(a). Distribution of information to security holders from 14(c). Initial statement of beneficial ownership of equity se- 16(a). Application for permission to extend unlisted trading 12(f). Application for registration as a broker and dealer, and 15(b). dealers. 17. Irrevocable appointment of agent for service of process, 23(a). Notice by nonresident broker or dealer specifying ad- Annual assessment and information for registered brokers Assessment and information form for registered brokers and dealers not members of a registered national securities association (as of June 30, 1965). 17. 15(b) (8). 15(b) (8). Initial assessment and information form for registered 15(b) (8). brokers and dealers not members of a registered na tional securities association. 6(e). Application by an exchange for registration or exemption 6(a). Periodic reports to keep reasonably current the informa- Certification of exempted exchange approving securities for listing. 17. 13. 12(d). Application for registration as a national securities as- 15A. sociation or affiliated securities association. Annual supplement consolidated to keep reasonably cur- 15A. rent the information in the above application. SECURITIES EXCHANGE ACT OF 1934-Continued Pursuant to section Application by a national securities association or a 15A(b) (4). 15A(g). 17. Application for review of disciplinary action or denial of PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Notification of registration and registration statement by 5(a), 5(b). public utility holding companies providing financial and other information concerning the issue and sale of securities. Annual reports by registered holding companies to keep 14. reasonably current information in the registration statement. 12(1). Application for an order of the Commission declaring 5(d). Application for exemption from provisions of the Act 12-month statement by bank claiming general exemption under the Act. 2(a)(3), 2(a) (4), 2(a) (7) (B), (a) (8) (B), 3 (a), (b). 3 (a), (d). 13(b). Application for approval of mutual service company or Application by interested persons for approval of reor- 17(a). 13. 11(f). Application by or on behalf of persons requesting approval 11(f). Application by registered holding companies and sub- 11(e). 2 |