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New Streamlined Procedure for Confidential Treatment Extensions

April 16, 2019

April 16, 2019

Registrants that have previously obtained a confidential treatment order for a material contract must continue to file extension applications under Rules 406 or 24b-2 if they want to protect the confidential information from public release pursuant to a Freedom of Information Act request after the original order expires. Such applications must be filed prior to the order’s expiration. Refiling the redacted exhibit in the manner specified by the recently adopted redacted exhibit rules will not provide confidential treatment for the previously filed CTR information.

We have developed a short form application to facilitate and streamline the process of filing an application to extend the time for which confidential treatment has been granted. It is a one-page document by which the applicant can affirm that the most recently considered application continues to be true, complete and accurate regarding the information for which the applicant continues to seek confidential treatment. With that affirmation, the applicant indicates its request that the Division extend the time period for confidential treatment for an additional three, five or 10 years and provides a brief explanation to support the request. There is no need to refile the unredacted documents with the request nor provide the supporting analysis previously provided if the analysis remains the same as presented in the most recent application. If the applicant reduces the redactions, it must publicly file the revised redacted version of the contract when it submits the short form extension application.

The short form application is not the exclusive means to request an extension of confidential treatment for previously granted requests. It is available as an alternative to the traditional method of requesting such extensions.

This short form application may only be used if the exhibits have already been the subject of an order granting confidential treatment. The short form application does not have to include all exhibits that have previously been granted confidential treatment. It may not be used to add new exhibits to the application or make additional redactions that were not previously considered by the staff. Those situations require a new confidential treatment application to be filed, containing all of the information required by Rules 406 or 24b-2.

The short form application should be emailed to CTExtensions@sec.gov. This email address should not be used in connection with any other type of confidential treatment or extension request. If we have questions relating to the application, we will contact the applicant. If we do not have any questions, but determine to grant the request based on the previously supplied information and the short form application, we will post the order granting confidential treatment on the applicant’s filing history on EDGAR via www.sec.gov, following our normal procedures.

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