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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 reasonably 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 aggregated and 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.

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Report by issuers of securities quoted on❘ (1)
NASDAQ Inter-Dealer Quotation System.
Preliminary data (prospectus, circular let- 3(b)
ters, etc.) to oil offering (Regulation B)
(17 CFR 230.300 et seq.).

Offering sheets for oil or gas rights and 3(b)
royalties under Regulation B for exemp-
tion from registration provisions (17 CFR
230.300 et seq.).

Notifications of exemption from registration | 3(b)
filed under Regulation A, E, and F (17
CFR 230.251, 230.601, 230.651 et seq.).
Offering circulars and written advertise- 3(b)
ments or other communications under
Regulations A, E, and F (17 CFR
230.251, 230.601, 230.651 et seq.).
Report of sales and use of proceeds (Reg- 3(b)
ulations A and E) (17 CFR 230.251,
230.601 et seq.).

Consent by non-resident to service of 3(b)
process (Regulation A) (17 CFR
230.251 et seq.).

Application for relief from disability under 3(b)
Regulations A and F (17 CFR 230.651
et seq.).

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
of Rule 144 (17 CFR 230.237).

Notice of sale of securities by closely held 3(b)
issuers (issuers with 100 or less bene-
ficial owners) other than investment
companies, registered or required to be
registered under the Investment Com-
pany Act of 1940 (17 CFR 230.240).

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Registration statement (securities listed on 12(b) a national securities exchange). Registration statement (securities traded 12(g) over-the-counter).

Exemption from section 12(g), 13, 14, 15, 12(h) or 16.

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.

Report by issuers of securities quoted on 15(d), 13(a) 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) from listing and registration on a na

tional securities exchange.

Notification by an exchange of the admis- 12(a) sion to trading of a substituted or additional class of security.

Definitive proxy soliciting materials filed 14(a) under Regulation 14A (17 CFR

240.14a-1 et seq.).

Distribution of information to security hold- 14(c)
ers from whom proxies are not solicited
filed under Regulation C (17 CFR
230.400 et seq.).

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)
equity securities by officers, directors
and principal stockholders of issuers
having listed equity securities; and
changes in such ownership.

Application for permission to extend un- 12(1)
listed trading privileges, notification of
changes, and notification of termination
or suspension.

Application for registration as a broker and 15(b)
dealer, and amendments or supple-
ments to such application.

Reports of financial condition of registered 17
brokers and dealers.

Application for registration as a transfer 17A(c) agent and amendments to such applica

tion.

Application for registration as a municipal 15B(a) securities dealer.

Application for registration or exemption as 11A(b) a securities information processor.

Application for registration or exemption as 17A(b) a clearing agency.

Irrevocable appointment of agent for serv- 23(a) ice of process, pleadings and other pa

pers.

Notice by non-resident broker or dealer 17 specifying address of place in United States where copies of books and records are located and undertaking to furnish to Commission, upon demand, copies of books and records he is required to maintain. Subordination agreements

Initial assessment and information form for registered brokers and dealers not members of a registered national securities association.

15

15(b)(8)

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 trad

ed on national securities exchanges. Reports by registered brokers and dealers 17(a) who are OTC Market in Makers in any OTC Margin Securities.

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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 17 exchanges.

Application for listing securities on an ex- 12(b) empted exchange.

Periodic reports to keep reasonably current the information contained in application for listing securities on exempted exchange.

133

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above application.

Report of changes in membership status 17, 19 of any of its members required of national securities exchanges and registered national securities associations. Application by a national securities asso- 15A(b)(4) ciation or a broker or dealer for admission or continuance of a broker or dealer as member of a national securities association, notwithstanding a disqualification under section 15A(b)(4).

Application for review of disciplinary action 15A(g) or denial of membership by registered securities association.

Reports on stabilizing activities pertaining 17
to a fixed price offering of securities reg-
istered or to be registered under the Se-
curities Act of 1933, or offered or to be
offered pursuant to an exemption under
Regulation A (17 CFR 230.251 et seq.),
or being or to be otherwise offered if ag-
gregate offering price exceeds $500,000.
Plans by exchanges authorizing payment 10
of special commission in connection
with a distribution of securities on ex-
changes.

Suspensions of trading of securities other- 15(c)(5)
wise than on a national securities ex-
change.

Annual and supplemental reports of the 17
Municipal Securities Rulemaking Board.

[See footnotes at end of table]

Annual reports by registered holding com- 5(d) panies to keep reasonably current information in the registration statement. Application for an order of the Commis- 5(d) sion declaring registrant has ceased to be a holding company.

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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)
authorizing representative to serve as
officer or director of holding company or
subsidiary, filed by representative.

Initial statement of beneficial ownership of 17(a)
securities filed by officers and directors
of registered public utility holding com-
panies, and changes in such ownership.
Annual reports by mutual and subsidiary 13
service companies.

Application by interested persons for ap- 11(1)
proval of reorganization plans required
in court proceedings for reorganization
of registered holding companies and
subsidiaries.

Application by or on behalf of persons re- 11(1)
questing approval of payment of fees,
expenses or remuneration for services
rendered in connection with a proceed-
ing in reorganization in a U.S. Court in-
volving registered holding companies or
subsidiaries.

Notices of intention regarding proposed 11, 12(d), 12(f)

sale of securities and other assets not
requiring filing of application or declara-
tion.

Statements in justification of fees and ex-
penses proposed to be paid.
Reports to stockholders by registered
holding company or subsidiary thereof
and annual reports submitted by reg-
istered holding company or subsidiary
thereof to a State commission covering
operations not reported to Federal
Power Commission.

[See footnotes at end of table]

6(b), 7, 9, 10,

12(d) 14, 15

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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:

1Section 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. *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.

Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral arguments, motions, briefs, exceptions.

Commission findings, opinions, orders, rulings and notices issued for public release.

Final opinions of the Commission, including concurring and dissenting opinions, as

well as orders made by the Commission in the adjudication of cases.

A record of the final votes of each member of the Commission in every Commission proceedings concluded after July 1, 1967.

Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public.

Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW-Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act (17 CFR part 285).

Periodic reports filed by the Inter-American Development Bank, pursuant to Regulation IA (17 CFR part 286) adopted pursuant to section 11(a) of the Inter-American Bank Act.

Periodic reports filed by the Asian Development Bank, pursuant to Regulation AD (17 CFR part 287) adopted pursuant to section 11(a) of the Asian Development Bank Act.

Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy.

Statements of policy and interpretations which have been adopted by the Commission and are not published in the FEDERAL REGISTER.

Administrative staff manuals and instructions to the staff that affect a member of the public.

Reports by the Commission to the Congress as a whole.

Notices of Commission meetings announced to the public as described in §200.403; announcements of Commission action to close a meeting, or any portion thereof, as described in §200.404(b) and §200.405(c); and certifications by the General Counsel, pursuant to §200.406, that a Commission meeting, or any portion thereof, may be closed to the public.

[41 FR 44696, Oct. 12, 1976, as amended at 42 FR 14693, Mar. 16, 1977]

§200.80b Appendix B—SEC releases.

Free mailing list distribution of releases has been discontinued by the Commission because of rising costs and staff limitations. However, the texts of all releases under the various Acts, the corporate reorganization releases, and the litigation releases are contained in the SEC Docket, which may be purchased through the Superintendent of Documents as described in §200.80c of this part. The Statistical series releases are contained

in the SEC Monthly Statistical Review, which also can be obtained by purchase through the Superintendent of Documents.

[40 FR 1009, Jan. 6, 1975, as amended at 49 FR 12686, Mar. 30, 1984; 52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987]

§200.80c Appendix C-Rules and miscellaneous publications available from the Government Printing Of fice.

(a) The current rules of the Commission are not published by the Commission in pamphlet form. All SEC public rules and regulations, including its Rules of Practice, are contained in title 17 of the Code of Federal Regulations, which also is available for purchase from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. New rules and rules changes, and other Commission releases, except statistical releases, also are published in the FEDERAL REGISTER as they are adopted.

(b) Copies of the following miscellaneous publications may be purchased from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. Please address to him directly all inquiries, orders and payments concerning the following publications:

1. Reports.

SEC Annual Report to the Congress.

2. Periodicals.

Official Summary. A monthly summary of securities transactions and holdings reported under the provisions of the Securites Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940 by officers, directors, and certain other persons.

SEC Monthly Statistical Review. A monthy publication containing data on round-lot and odd-lot share volume in stock exchanges, OTC volume in selected securities, block distributions, securities registrations and offerings, net change in corporate securities outstanding, working capital of U.S. corporations, assets of non-insured pension funds, Rule 144 filings and 8K reports.

Directory of Companies Filing Annual Reports with the Securities and Exhange Commission under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by industry groups according to the Standard Industrial Classification Manual of the Bureau of the Budget.

[40 FR 1010, Jan. 6, 1975, as amended at 49 FR 12686, Mar. 30, 1984; 52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987]

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