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U.S. Securities and Exchange Commission

Office of FOIA, Records Management, and Security

The Office of FOIA, Records Management, and Security (OFRMS) is responsible for the processing of requests under the Freedom of Information and Privacy Acts, the management of all agency records in accordance with the Federal Records Act, and maintaining the security and safety of all SEC facilities.

The primary role of each team

The Office of FOIA Services (OFS) is responsible for receiving and responding to requests for non-public records under the Freedom of Information Act (FOIA, 5 USC 552) and the Privacy Act (5 USC 552a). For complete information on how to make a Freedom of Information Act request, please visit the FOIA web link.

Additionally, OFS responds to requests for public information which has not been published to the SEC website under the FOIA (5 USC 552(a)). These requests are routinely for older paper registration filings and other routine releases of the Commission which pre-date 1996. For complete information on requesting public documents, please see How to Request Public Documents.

The Office of Records Management Services (RMS) develops, evaluates, and issues policies, procedures, records schedules, and systems that allow the agency to meet federal statutory and regulatory requirements. The work includes identifying, creating, authenticating, and managing active SEC records, as well as disposing of inactive records. RMS also provides certified copies of SEC records supporting enforcement activities, other legal proceedings, and performs records management training for SEC staff.

The Office of Security Services (OSS) is responsible for all operations related to the security, safety, and emergency management of all SEC facilities and staff. OSS develops and maintains policies and procedures to implement security program principles and practices in accordance with Federal statutes and regulations.

OFRMS Organizational Structure At-A-Glance

Director/Chief FOIA Officer Barry D. Walters
Office of FOIA Services John Livornese, FOIA Officer
  • Jeffery Ovall, Research Branch 1
  • David Henshall, Research Branch 2
  • Lizzette Katilius, Research/Tech Support Branch 3
  • Ray McInerney, Research Branch 4
Office of Records Management Services David B. Brown, Archivist
  • Aimee Primeaux, Records Policy, Training, and Compliance
  • Curtis Francisco, Records Operations
Office of Security Services William Fagan, Chief of Security Services
  • VACANT, Physical Security Operations
  • Cedric Drawhorn, Personnel Security Operations

Contact Information:

U.S. Securities & Exchange Commission
Office of FOIA, Records Management, and Security
100 F Street, NE
Washington, DC 20549
202-551-8400 Phone



Modified: 05/02/2012