(ii) Microfiche copies. A contractor also makes available to the public microfiche copies of certain public documents on file with the Commission, at prices and on terms governed by its contract with the Commission. Microfiche services include subscription microfiche service on an annual basis. Microfiche subscription prices are regulated by the Commission whether requested through the public reference room or directly from the contractor. Certain other microfiche services are provided at prices that are regulated by the Commission only if ordered through the Commission's public reference room. The Commission will accept only subscription requests made in writing, although the contractor may elect to accept subscription requests by telephone. All microfiche subscription charges are payable directly to the contractor, whether placed through the Commission or not. Information concerning the types and cost of regulated microfiche services may be obtained by writing to the Commission at its public reference room located at 450 Fifth Street, NW., room 1024, Washington, DC 20549 or calling this facility at 202-272-3100. (iii) Transcripts of public hearings. Copies of the transcripts of recent public hearings may be obtained from the reporter subject to the fees established annually by contract between the Commission and the reporter. Copies of that contract, which contains tables of charges, may be inspected in the public reference room, 450 Fifth Street, NW., Room 1024, Washington, D.C. and in each regional and district office. Copies of other public transcripts may be obtained, in the manner of other Commission records, subject to the charges referred to in paragraph (e)(7)(i) of this section. (8) Releases and publications. (i) The Commission's decisions, reports, orders, rules and regulations are published initially in the form of releases and distributed. (ii) The Commission publishes daily the SEC News Digest, which summarizes the releases published by the Commission each day, contains Commission announcements, and lists certain filings with the Commission. The Commission publishes weekly the SEC Docket, which prints the full text of every Commission release. (iii) The Commission publishes an annual report to the Congress which sets forth the results 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, DC 20402. (iv) 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. (v) A classification of the releases available from the Commission appears below as appendix B to this section. Other publications available from the Commission are set forth in appendix C to this section. Copies of rules, regulations, and miscellaneous publications set forth in appendix D to this section may be purchased from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402. (9) Fees for services required for processing Freedom of Information Act Requests. In cases where records are requested pursuant to the Freedom of Information Act and according to procedures set forth in paragraph (d)(1) of this section, fees shall be charged as set out in the Commission's current schedule of fees, appendix E to this section, for services as described in the following: (i) Search. The term "search" includes all time spent looking for material manually or by using electronic data processing equipment that is responsive to a request, as distinguished from “review” as defined at paragraph (e)(9)(ii) of this section. Searching for requested and specifically identified information, as described in paragraph (d)(1) of this section, includes the cost of staff time devoted to the search as indicated in appendix E to this section and direct costs for use of Commission electronic data processing equipment. (ii) Review. The term "review" refers to the process of examining documents located in response to a request to determine whether any portion of any document is permitted to be withheld pursuant to provisions of the Freedom of Information Act. It also includes processing any documents for disclosure, e.g., doing all that is necessary to excise material from and otherwise prepare them for release. (iii) Duplication. The term "duplication" refers to producing paper or microform copies of records. The Commission shall charge for duplication as established by agreement between the Commission and a private contractor. These charges are currently set out in appendix E to this section. Such charges shall be set so as not to exceed the direct cost that would be incurred by the Commission if it were to perform such services itself, as calculated to include the salary of operators, the cost of reproduction machinery, the cost of material and any other direct costs incurred by the Commission in copying materials responsive to a Freedom of Information Act request. (iv) Partial exemption from fee provisions. No fees shall be charged for the first two hours of search time and the first one hundred pages of materials for requesters described in paragraphs (e)(10)(i) and (e)(10)(iii) of this section. (v) Minimum fee. Fees will not be charged if the normal cost of collecting a fee would be equal to or greater than the fee itself. (10) Classification of Freedom of Information Act requesters for purposes of assessing fees. Parties requesting records pursuant to the Freedom of Information Act will be classified and charged fees described in appendix E to this section as follows: (i) The following types of requesters shall be charged for duplication of records as described in paragraph (e)(9)(iii) of this section as qualified in paragraph (e)(9)(iv) of this section: Educational institutions requesting information for purposes of scholarly research; non-commercial scientific institutions requesting information for purposes of scientific research; and representatives of the news media requesting information concerning current events or matters of current interest to the general public. (ii) Commercial requesters, defined as parties other than those mentioned in paragraph (e)(10)(i) of this section who are requesting information to be used in any way which could reason ably be expected to result in corporate or personal financial gain or profit, shall be charged for search, review and duplication of records as described in paragraphs (e)(9)(i), (e)(9)(ii) and (e)(9)(iii), respectively, of this section. (iii) All parties other than those described in paragraphs (e)(10)(i) and (e)(10)(ii) of this section requesting access to such records shall be charged for search and duplication of records as described in paragraphs (e)(9)(i) and (e)(9)(iii) of this section, respectively, as qualified in paragraph (e)(9)(iv) of this section. (11) Appeal of classification. Classification under the provisions of paragraph (e)(10) of this section may be appealed to the General Counsel in accordance with the procedure set forth in paragraph (d)(6) of this section. (12) Aggregation of requests. If the Freedom of Information Act Officer reasonably believes that a requester or group of requesters acting in concert is attempting to divide one request into a series of requests for the purpose of evading the assessment of fees, those requests may be and aggregated charges assessed accordingly. (13) Advance payment. The Freedom of Information Act Officer may require advance payment of fees expected to be incurred in connection with a request, but only when the subject requester has failed to make timely payment in the past, or when the estimated processing costs exceed $250.00 and the requester has no previous payment records or has failed to make timely payment in the past. Processing in such cases shall be delayed until advance payment is received and statutory time limits will be appropriately extended. (14) Interest on unpaid bills. On the 31st day following the date of a bill to a requester, the Commission may begin assessing interest on the unpaid amount at the rate prescribed in section 3717 of title 31 of the U.S. Code. Interest will accrue from the date of the bill. [40 FR 8799, Mar. 3, 1975] EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting §200.80, see the List of CFR Sections Affected in the Finding Aids section of this volume. Registration statement providing financial 6 Periodic reports (annual, quarterly, and (1) Requests for extension of time to file infor- (2) mation, document, or report. Reports of sales of registered securities 19(a), 20(a) and use of proceeds thereunder by first time registrants. (1) Report by issuers of securities quoted on Offering sheets for oil or gas rights and 3(b) Notifications of exemption from registration 3(b) Consent by non-resident to service of 3(b) Application for relief from disability under 3(b) Notice of proposed resale of restricted se- 4(1), 4(4) curities and resale of securities by con trol persons (17 CFR 230.144). Notice of proposed sale by non-controlling 3(b) person of restricted securities of issuers which do not satisfy all of the conditions Notice of sale of securities by closely held 3(b) [See footnotes at end of table] Information by a foreign issuer temporarily 12(g)(3) exempt from section 12(g). Certification of exchange approving securi- 12(d) ties for listing and registration. Periodic reports (annual, quarterly and 13(a) current) to keep current the information in the above registration statements. Request for extension of time to file infor- 12(b) mation, document, or report. Correspondence between the Commission 13(a), 15(d) and registrants that are delinquent in filing certain required reports. 15(d), 13(a) Report by issuers of securities quoted on NASDAQ Inter-Dealer Quotation System. Certificate of termination of Registration (3) for a class of security. Notices of suspension of trading 12(d) Application to withdraw or strike a security 12(d) Notification by an exchange of the admis- 12(a) Definitive proxy soliciting materials filed 14(a) Distribution of information to security hold- 14(c) Acquisitions, tender offers and solicita- 13(d), 14(d) tions. (17 CFR 240.14d-1 et seq.). Initial statement of beneficial ownership of 16(a) Application for permission to extend un- 12(1) Application for registration as a broker and 15(b) Reports of financial condition of registered 17 Application for registration as a transfer 17A(c) agent and amendments to such applica tion. Annual assessment and information form 15(b)(8) for registered brokers and dealers not members of a registered national securi ties association. Reports of market makers and other reg- 17(a) istered broker-dealers in securities traded on national securities exchanges. Reports by registered brokers and dealers 17(a) who are OTC Market in Makers in any OTC Margin Securities. Proposed rule changes by all self-regu- 19(b) latory organizations. Notice as to stated policies, practices and 19(b) interpretations of self-regulatory organizations. Application by an exchange for registration 6(a) or exemption from registration as a national securities exchange. Annual amendments and supplemental 6(e) material filed to keep reasonably current the information contained in application for registration or exemption. Record disposal plan of national securities exchanges. Application for listing securities on an exempted exchange. 17 12(b) 13 Periodic reports to keep reasonably current the information contained in application for listing securities on exempted exchange. Certification of exempted exchange ap- 12(d) Application for registration as a national 15A Annual supplement consolidated to keep❘ 15A Report of changes in membership status 17, 19 Application for review of disciplinary action 15A(g) or denial of membership by registered securities association. Reports on stabilizing activities pertaining 17 Suspensions of trading of securities other- 15(c)(5) Public Utility Holding Company Act of 1935 Notification of registration and registration 5(a), 5(b) Annual reports by registered holding com- 5(d) Statement by a person employed or re- 12(i) 2(a)(3), 2(a)(4), 2(a)(7)(B), 2(a)(8)(B), 3(a), (b) Twelve-month statement by bank claiming | 3(a), (d) exemption under the Act. Application for approval of mutual service 13(b) company or declaration with respect to organization and conduct of business of subsidiary service company. Statement executed by financial institution 17(c) Initial statement of beneficial ownership of 17(a) Application by interested persons for ap- 11(f) in court proceedings for reorganization Application by or on behalf of persons re- 11(1) Notices of intention regarding proposed 11, 12(d), 12(f) sale of securities and other assets not requiring filing of application or declara an application. Application for exemption and other relief Irrevocable appointment of agent for serv- 211(a) ice of process, pleadings and other papers. Notice by non-resident investment adviser 204 specifying address of place in United States where copies of books and records are located, or. Undertaking by non-resident investment 204 adviser to furnish to Commission, upon demand, copies of any books or records he is required to maintain. vestment company evidencing an inter est in a portfolio of securities in which the investment company invests. Periodic reports (annual and quarterly) to 30(a), 30(b)(1) keep reasonably current the information in above registration statement. Periodic or interim reports to security hold- 30(b)(2) Application for order of the Commission 8(1) Fidelity bond, resolution of board of direc- 17(g) Statement of (d)(2), 14(a), 15 (a), 16(a), 17 (a), (b), (d), (e), 18(i), 22(d), 23 (b) (5), (c)(3), 24(d), 26(a) (2)(C), 28(c), 35(d), and others. transactions-exemption 10(1) from provisions of section 10(f). Application for an ineligible person to 9(b) serve as officer, director, etc. of a registered investment company. Request for advisory report of the Com- 25(b) mission relating to the reorganization of registered investment company. Report of repurchase of its own securities 23(c) by a closed-end company. Sales literature regarding securities of cer- 24(b) tain investment companies. Statement of the Federal Savings and 6(a)(4) Loan Corporation relating to the exemp tion of certain issuers. Report submitted pursuant to an order of the Commission. Documents and records resulting from de- 33 rivative or representative law suits. Footnotes: 1 Section 15(d)-Securities Exchange Act of 1934. 2 Section 12(b)-Securities Exchange Act of 1934. 3 Section 12(g)-Securities Exchange Act of 1934. 4 Section 851(e)(1) of the Internal Revenue Code of 1954 is applicable. $ Regulation 14 under the Securities Exchange Act of 1934 is applicable (17 CFR 240.14a-1 et seq.). Miscellaneous Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under the various Acts administered by the Commission. Requests for no-action and interpretative letters and responses thereto. |