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
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
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
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
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
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

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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