SEC FOIA Appeals and Exemptions Quick Check

Q1. Under the SEC FOIA guide, what can protect records from disclosure?
- Only the Privacy Act
- The FOIA's nine exemptions and three special FOIA exclusions
- Any request that is old
- Any record that mentions the SEC
Answer: The FOIA's nine exemptions and three special FOIA exclusions[[cite:1]]
Q2. Which SEC FOIA decision can be appealed?
- Only a final response
- Only a denial of a fee waiver
- An interim or final response
- Only a response that grants full access
Answer: An interim or final response[[cite:2]]
Q3. How long does a requester have to file an administrative appeal after a denial?
- 30 calendar days
- 60 business days
- 90 calendar days
- One year
Answer: 90 calendar days[[cite:3]]
Q4. How does the SEC treat representatives of the news media for FOIA fees?
- They pay search, review, and duplication fees
- They are charged only duplication fees, with the first 100 pages free of charge
- They always receive a full fee waiver
- They must prepay all estimated fees
Answer: They are charged only duplication fees, with the first 100 pages free of charge[[cite:4]]
Q5. What is the SEC's fee-waiver standard?
- A waiver is available whenever the requester cannot pay
- A waiver is available only for requests about enforcement actions
- Release must be in the public interest and not primarily in the requester's commercial interest
- Any request from a student gets an automatic waiver
Answer: Release must be in the public interest and not primarily in the requester's commercial interest[[cite:5]]
Q6. Which of the following is NOT listed as an appealable FOIA issue in the SEC guide?
- A determination that a record is not readily reproducible in the requested format
- A denial of expedited processing
- A denial of a fee waiver
- A request for a criminal prosecution
Answer: A request for a criminal prosecution[[cite:6]]

determination regarding the estimation or assessment of a fee

not a legal basis for granting a fee waiver

SEC FOIA Appeals and Exemptions Quick Check

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