Investment Company Act of 1940-Continued Description-Continued Periodic reports (annual, semiannual, and quar. Pursuant to section 30(a), 30(b) (1). Annual, semiannual, and other periodic reports 30 (b)(2). Application for order of the Commission deter- Waiver of indemnification of officer and directors Report of independent auditors examining rec- Request by company for certificate to be issued Application for exemption from provisions of the Statement of transaction-exemption from provisions of sec. 10(f) Application for an ineligible person to serve as officer, director, etc. of a registered investment company. 8(f). 17(g). 17(h), 17 (i). 17(f). 35(d). (1). 220 (a). 2(a) (9), 3(b) (2), 6 (b), (e), (d), 7(d), 10(e), (f), 11 (a), (c), 12 (d) (1), (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. 10(f). 9(b). Request for advisory report of the Commission 25 (b). relating to the reorganization of registered investment company. Report of repurchase by its own securities by a closed-end company. 23 (c). Sales literature regarding securities of certain 24(b). investment companies. Statement of the Federal Savings & Loan Corp. 6(a)(4). relating to the exemption of certain issuers. Reports submitted pursuant to an order of the Commission. 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 various acts administered by the Commission. 1 Sec. 851 (e) (1) of the Internal Revenue Code of 1954 is applicable. 2 Regulation 14 under the Securities Exchange Act of 1934 is applicable. Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral argument, motions, briefs, exceptions. Commission findings, opinions, orders, rulings and notices issued for public release. 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. Periodic reports filed by Inter-American Development Bank, pursuant to regulation IA adopted pursuant to section 11(a) of the Inter-American 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. Reports by the Commission to the Congress as a whole. Since this amendment relates only to matters of agency procedure and practice, the Commission deems that the public notice and other rulemaking procedures provided in section 4 of the Administrative Procedure Act, as amended, title 5 United States Code section 553, are unnecessary. By the Commission. ORVAL L. DuBois, Secretary. SCHEDULE OF FEES FOR SPECIAL RECORDS SERVICES SEARCHING AND ATTESTATION SERVICES Searching for and preparing records requested for inspection or copying (including overhead costs): First one-half man-hour__. Each additional one-half man-hour or fraction thereof__ No Fee $2.50 2.00 Payment for the above services must be made by check or money order payable to: "Treasurer of the United States." Address mailed payments to: Comptroller, Securities and Exchange Commission, Washington, D.C. COPIES OF DOCUMENTS Documents are copied by a commercial copier under an annual contract with the Commission. All requests for copies should be directed to the Public Reference Section, Securities and Exchange Commission, Washington, D.C. 20549. Copies when authorized will be sent directly to the purchaser by the contract copier unless attestation is requested. Purchaser will be billed by the copier for the cost of the copies; and by the Commission separately for the attestation and searching fees, if any. Cost estimates with respect to any copying job will be supplied upon request. Page size up to 81⁄2 inches by 14 inches, per page.. Page size between 81⁄2 by 14 and 14 by 18 inches, per page----. $.09 .15 25 25 2.00 Expedited service can be obtained at a premium of 25 percent over the above copying charges. Regular orders generally will be filled within 5 days of their receipt (if additional time is required, advice to that effect will be given). Payment of charges must be made to the official copier, not the SEC, in the manner specified on the company invoice. In addition to the ordinary copying services described above, the contract copier maintains coin-operated machines in the public reference rooms of the Commission in Washington, D.C., New York, and Chicago. These machines, which are operated by customers on a do-it-yourself basis, can be used to make immediate copies of material available for inspection, at a cost of 25 cents per page (up to 9 inches by 14 inches in size). TYPES OF INFORMATION PRESENTLY BEING WITHHELD BY THE AGENCIES The following tables are based on the agencies replies to the subcommittee's questionnaire. The tables illustrate the types of information which agencies are withholding from public inspection because, in the agency's view, the information falls within one or more of the nine exemptions under the act. INFORMATION WHICH SELECTED AGENCIES ARE NOT MAKING AVAILABLE, WHERE THE FREEDOM OF INFORMATION ACT IS CITED AS THE STATUTORY REASON FOR WITHHOLDING THE INFORMATION (5 U.S.C. 552(b) EXEMPTIONS) CIVIL AERONAUTICS BOARD [Source: Pt. 310, app. B, CAB Procedural Regulations, effective July 4, 1967. See also p. 27, agency response [EXEMPTIONS] (1) Classified Board minutes and classified exhibits in formal proceedings. (2) Files pertaining to the Board's personnel. Technical manuals and instructions pertaining to the Board's audit of carrier accounts. (3) Matter exempt under sections 902(f) and 1104 of the Federal Aviation Act, or by specific Board order; eg., carrier audit papers and correspondence relating thereto, and matters on which the Board has granted a motion for nondisclosure pursuant to section 302.39 of its Rules of Practice. (4) Past or future matter submitted to the Board in confidence but for which no formal request under section 302.39 of the Board's Rules of Practice has been made and granted will be held in confidence by the Board to the extent deemed allowable.* (3 requests). Examples of confidential matters: Carrier accounting manuals, certain origin and destination data, MAC rate information submitted in advance of MAC rate proceedings, materials related to informal subsidy conferences, certain conference materials and traffic statistics submitted by IATA, and carrier or ATA letters, information, or views used in developing U.S. positions in international aviation matters. (5) Board minutes involving items which are pending and minutes not approved. Intergovernmental communications on loan guarantee matters. Reference or supporting material keyed to Board minutes. Staff analyses not published by the Board. Copies of CAB decisions awaiting Presidential action. Research and legislative reference files of the General Counsel. Notation, calendar, or "for information" memorandums. Memorandums and studies regarding Board positions in international aviation matters. Budget, management program evaluation, records disposal, research, planning, and program files. Development files, research materials, and workpapers. Internal memorandums on the Administrative Conference of the United States. Files regarding Board requisitions, equipment, and space. (6) Correspondence and inquiries regarding Board personnel. (7) Files of the Bureau of Enforcement or other bureaus regarding alleged violations of the Federal Aviation Act* (2 requests) e.g.: Formal and informal cases files; consumer complaint files which would disclose the identity of private complainants; civil complaint files involving cases resulting in nonmonetary penalties; and correspondence regarding complaints or alleged violations of the Federal Aviation Act not otherwise filed. (8) None. (9) None. *Denotes material for which actual requests have been made under FOI Act and were denied by CAB. FEDERAL COMMUNICATIONS COMMISSION [Source: Pt. O, ch. I of title 47 CFR. See also p. 59 of agency response to questionnaire] [EXEMPTIONS] (1) Reports and other material developed in security investigations purusant to Executive Order 10450. Official information which requires protection in the interest of national defense. Executive Order 10501. (2) Materials related solely to internal management matters, including minutes of Commission actions on such matters. Materials relating to the negotiation of contracts. (3) Under authority of 47 U.S.Č. 154(j), the Commission has determined that the following are exempt from disclosure: (1) Maps showing the exact location of submarine cables, (2) minutes of Commission actions on classified matters, and (3) maps of nationwide point-to-point microwave network. Although such information is generally available for inspection, the Commission may, under 47 U.S.C. 312(f), withhold records and data pertaining to the valuation of the property of common carriers. Under 47 U.S.C. 412, the Commission may withhold from public inspection certain contracts agreements and arrangements between common carriers relating to foreign wire or radio communication. Reports of negotiations regarding such foreign communication matters, filed by carriers under section 43.52 of this chapter, may also be withheld from public inspection under section 412. Information obtained by the Commission in the course of monitoring radio transmissions is exempt from public inspection (47 U.S.C. 605). 18 U.S.C. 1905 prohibits the disclosure of certain confidential information. (4) Materials submitted to the Commission which contain trade secrets, commercial,* financial,* or technical data will not ordinarily be made available for inspection. However, a request for inspection may be made under section 0.461 of the Commission's Rules and Regulations. Inspection will be allowed if there is a persuasive showing as to the reasons for inspection and as to the Commission's authority to make disclosure in view of 18 U.S.C. 1905. Prior to July 4, 1967, the Rules and Regulations provided that certain materials submitted to the Commission would not be made available for inspection and that requests for nondisclosure would be honored. (See, e.g., 47 CFR (1966 ed.) 2.557, 5.204, 5.255, 15.70, 21.406, 81.506, 83.436, 87.153, 89.215, 91.208, 91.605 and 93.208.) Materials submitted under these provisions are not generally available for public inspection. If a request for inspection is submitted under section 0.461, Rules and Regulations the Commission will then determine whether it is appropriate to withhold the material in question from public inspection. To the extent that such materials were accepted on a confidential bases under the then existing rules, no disclosure of such materials will be made, absent a most compelling showing. Requests that materials submitted to the Commission on or after July 4, 1967, be withheld from public inspection are governed by section 0.459 of Rules and Regulations. (5) Interagency and intraagency memorandums or letters will not be made available for inspection, except in accordance with the procedures set forth in section 0.461, Rules and Regulations. Only if it is shown in a request under section 0.461 that such a communication would be routinely available to a private party through the discovery process in litigation with the Commission will the communication be available for public inspection. (6) Except as provided by the Civil Service Commission, 5 CFR 294.701-294.703, official personnel folders under the jurisdiction and control of the FCC will not be made available for public inspection. Other records of the Commission containing private, personal, or financial information concerning particular employees will be withheld from public inspection. Information submitted to the Commission by applicants for commercial radio operator licenses concerning the character and mental or physical health of the applicant is available for inspection only under procedures set forth in section 0.461, Rules and Regulations. (Except in this respect or where other aspects of a similar private nature warrant nondisclosure, commercial radio operator application files are available for inspection.) *Denotes materials for which actual requests have been made under FOI Act and were denied by CAB. (7) Complaints and investigatory statements and documents:* When a complaint is received by the Commission, an initial determination is made as to whether the matters contained in the complaint warrant an investigation. If it is determined that a complaint warrants investigation the complaint is placed in an investigatory file, and may be made available for inspection upon request only if disclosure will not prejudice the conduct of the investigation. The complaint is placed in a public file when it has been determined that no investigation should be conducted or when the investigation is completed. If the complainant has requested that his identity not be disclosed, or if there is reason to believe that disclosure of complainant's identity could emfarass him or subject him to harassment, the complaint will not be placed in a public file without his consent. If no investigation is conducted or if the investigation has been completed, however, such complaints will be made available for inspection upon request if, and to the extent that, it is possible to do so without disclosing the complainant's identity. Personal work papers, memorandums, or reports prepared by Commission personnel relating to the institution, conduct, or outcome of an investigation are placed in an investigatory file and are not available for public inspection. Complaints or portions of complaints containing scurrilous or defamatory statements will not be made available for inspection, except upon a compelling showing that the public interest so requires. (8) None. (9) None. *Denotes material for which actual requests have been made under FOI Act and denied by the FCC. FEDERAL POWER COMMISSION [Source: FPC Order No. 351, July 3, 1967, 19 CFR, pts. 1, 3. See also FPC's reply to subcommittee ques tionnaire appearing on p. 93] [EXEMPTIONS] (1) Files and records classified under Executive Order No. 10501. (2) None. (3) Files and records containing facts or information not permitted to be divulged by section 301 of the Federal Power Act or section 8 of the Natural Gas Act. (4) Unaccepted offers of settlement in any matter or proceeding unless or until made public by act of the offerer. (5) Staff memorandums containing recommendations of action underlying Commission orders in three named proceedings.* Written communications between or among the Commission, members of the Commission, the Secretary, and expressly designated members of the staff while particularly assigned, in accordance with all applicable legal requirements, to aid the Commission in the drafting of any order and findings, with or without opinion in any matter or proceeding. (6) None. (7) None. (8) None. (9) None. *Denotes materials for which actual requests have been made under FOI Act and denied by FPC. |