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Securities and Exchange Commission Confidential Treatment Procedure Under Rule 83

May 12, 2017

In light of the current outbreak of coronavirus disease 19 (“COVID-19”), the Office of FOIA Services (OFS) recognizes that it may be impracticable for submitters of confidential treatment requests to comply with Rule 83 by faxing or mailing in their CT requests. To assist, OFS is temporarily allowing for submission of confidential treatment requests electronically via email. Submitters may send their confidential treatment requests to Confidential treatment requesters should also be aware that OFS is still accepting facsimile and hard copy submissions; however, during this time OFS may experience lengthy delays in receiving U.S. Mail, UPS/FedEx, and/or courier deliveries.

Please be advised that the mailbox should be used only for submission of the request letter and not for the records for which confidential treatment is sought.

The Commission's Rule 83 (17 CFR 200.83) provides a procedure by which persons submitting information may request that it be withheld when requested under the Freedom of Information Act. It applies in the context of examinations, inspections, and investigations, and in other cases where no procedures exist for requesting confidential treatment for particular categories of information.

Under Rule 83, the submitter of information must mark each page with "Confidential Treatment Requested by [name]" and an identifying number and code, such as Bates-stamped number. The words "FOIA Confidential Treatment Request" must appear on the top of the first page of the request. The submitter must include his or her name, address, and telephone number and inform the FOIA Office of any change of address, telephone number, or representation.

A written request must be given to the staff receiving the record and a copy of the request, but not the record, should be faxed to the FOIA Office at (202) 772-9337 or mailed to FOIA Office, 100 F Street NE, Mail Stop 2465, Washington, DC 20549. The request must be submitted on paper, even if the requester is an electronic filer.

It may be impractical to submit a written request when the record is first given to the staff, such as in the course of a testimony or an examination or inspection. In that case, the witness or the submitter of the record must inform the staff receiving it that he or she is requesting confidential treatment at the time the record is submitted or as soon afterwards as possible. He or she must then submit a written request within 30 calendar days from the date of the testimony or the submission of the record.

The requester may claim personal or business confidentiality, but need not substantiate his or her request until the FOIA Office notifies him of a FOIA request for the records. A confidential treatment request will expire 10 years from the date the FOIA Office receives it, unless that Office receives a renewal request before it expires.

Please contact the FOIA/Privacy Act Office with any questions at 202-551-7900.

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