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Type of filing

File No.

File No.

Retention period



2 yr.



32- ......


Trust Indenture Act of 1939





pursuant to
sec. 12(i) by
employed or
retained by a
company or

thereof. Exemption of

assignee, etc., of

leased facilities. Statement under Rule

70(a)(1) executed
by financial
representative to
serve as officer/
director of holding
company, filed by

representative. Certificates of

notification by registered holding companies and subsidiaries, of security issues exempted from sec. 6(a) by sec. 6(b) or exempt under Rule 47(b) and not the subject of an order

of the Commission. Report by an affiliate

service company or one engaged principally in the performance of

services. Declaration with

respect to solicitations regarding reorganization of registered holding companies of subsidiaries subject

to Rule 62. Report of

communication with stockholders (secs. 14 and 15). Periodic accounting

Annual report by

mutual and

Statements and

reports from unregistered (exempt) companies Statement of


Investment Advisers Act of 1940



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Retention period

Type of filing

Until new statement is


Annual statement

by banks
holding public
utility securities
but claiming

under rule 3.

statements by
pursuant to
Rule 2
(intrastate or

For life of lease plus

5 yr.

For as long as


For the life of the


Until new certificate is


Statements of

eligibility and
qualification of
corporations or
individuals as
trustees under
qualified indenture
under which debt
security has been
or is to be issued
and exemptions

Reports of indenture

trustee to indenture
security holders
with respect to
eligibility and
qualification under
sec. 310.

exemption from
the act by

1 yr.

For as long as service

company is part of
registered holding
company system
plus 5 yr.

10 yr.

Applications for

registration as
investment adviser.

Applications for

exemption from
registration as
investment adviser.

For as long as

investment adviser
is registered plus 6

For as long as

investment adviser
is conducting
business under an
exemption plus 6 yr.

2 yr.

6 yr.

For as long as service

company is part of
registered holding
company system
plus 5 yr.

Reports of beneficial

ownership of
securities (sec.

Notifications and


30 yr. or for as long

as registrant has reporting requirement plus 10 yr., whichever

comes first. 10 yr.

For as long as

company relies on

Periodic reports

(Annual, quarterly,
semiannual, proxy

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Applications for

exemption and

other relief. Applications by

foreign management investment companies for order permitting

registration. Notice of Intent to

elect to be subject to sections 55 through 65 of the Investment Company Act of

1940. Notification of

withdrawal of Election to be subject to sections 55 through 65 of the Investment Company Act of

1940. Notification of Election

to be subject to sections 55 through 65 of the Investment Company Act of 1940.

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All others


Do. Securities violations 119

10 yr. from date of files.

last reported action. General correspondence:

Active companies .. 132-3

All others

132-3 6

yr. from date of last

entry. Litigation files.


10 yr. (except for

briefs), 25 years


CIV-MISC.... 10 yr.



10 yr.


MISC. Reorganization files 206-, 207, 30 yr. from date that (Chapters IX, X, XI).

plan was 917-, etc. substantially

consummated. Minutes of

Commission meetings: Record copies of minutes of meetings of Commission since its establishment and orders and opinions of the

Commission. Confidential treatment

materials Periodic reports (1933 and 1934 Acts).

Subject files
Federal Government 111-


correspondence). Congressional files: House


Members of

122-2 Retain until expiration Congress.

of term in office

plus 1 yr. Senate Committees.... 122-3

Permanent. Congressional


Commissions and

Joint Committees.
Canadian Extradition 123-13..


(correspondence). Legislation and Laws: 124-1

Do. Suggested

through amendments to

124-6; acts administered 124-11,

by the Commission. 124-20. Proposed legislation 124-7...

Do. submitted by Senate to SEC for

comment. Proposed legislation 124-7a.

Do. submitted by House to SEC for

comment. Bills not yet reported 124-7b.

Do. in Congress

(drafted). Stock exchanges

128-4 For as long as (general

organization is correspondence).

registered plus 6 yr.

10 yr.

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Request for advisory

report regarding reorganization of registered investment

company. Report of repurchase

of securities by closed end investment

company Sales literature

regarding securities of certain investment companies (sec.

24(b)). Statement of the

Federal Savings & Loan Corp. relating to the exemption of

certain issuers. Compliance reports

(sec. 12(0)).


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such treatment is based. If the staff determines that the request is reasonable and appropriate it will be granted and the letter or other communication will not be made available for public inspection or copying until the expiration of the specified period. If it appears to the staff that the request for confidential treatment should be denied, the staff shall so advise the person making the request and such person may withdraw the letter or other communication within 30 days thereafter. In such case, no response will be sent or given and the letter or other communication shall remain in the Commission's files but will not be made public. If such letter or other communication is not so withdrawn, it shall be deemed to be available for public inspection and copying together with any written response thereto.

NOTE: All letters or other written communications requesting interpretative advice or a no action position shall indicate prominently, in a separate caption at the beginning of the request, each section of the Act and each rule to which the request relates. If more than one section or rule is involved, a separate copy of the request shall be submitted for each section or rule involved and an additional copy for the use of the staff of the Commission.

(c) This section shall not apply, however, to letters of comment or other communications relating to the accuracy or adequacy of any registration statement, report, proxy, or information statement or other document filed with the Commission, or relating to the extent to which such statement, report, or document complies with any applicable requirement. (35 FR 17779, Nov. 19, 1970)

(47 FR 47546, Oct. 27, 1982)

$ 200.81 Publication of interpretative and

no-action letters and other written

communications. (a) Except as provided in paragraphs (b) and (c) of this section, every letter or other written communication requesting the staff of the Commission to provide interpretative legal advice with respect to any statute administered by the Commission or any rule or regulation adopted thereunder, or requesting a statement that, on the basis of the facts stated in such letter or other communication, the staff would not recommend that the Commission take any enforcement action, together with any written response thereto, shall be made available upon request for inspection and copying by any person 30 days after the response has been sent or given to the person requesting it.

(b) Any person submitting such letter or other written communication may also submit therewith a request that it be accorded confidential treatment for a specified period of time, not exceeding 90 days after the expiration of such 30 days, together with a statement setting forth the considerations upon which the request for

$ 200.82 Public availability of materials

filed pursuant to $ 240.14a-8(d) and re

lated materials. Materials filed with the Commission pursuant to Rule 14a-8(d) under the Securities Exchange Act of 1934 (17 CFR 240.14a-8(d)), written communications related thereto received from any person, and each related no-action letter or other written communication issued by the staff of the Commission, shall be made available to any person upon request for inspection or copying. [37 FR 20558, Sept. 30, 1972)

$ 200.83 Confidential treatment

procedures under the Freedom of Informa

tion Act. (a) Purpose. This section provides a procedure by which persons submitting information in any form to the Commission can request that the information not be disclosed pursuant to a request under the Freedom of Information Act, 5 U.S.C. 552. This section does not affect the Commission's right, authority, or obligation to disclose information in any other context. This section is procedural only and does not provide rights to any person or alter the rights of any person under the Freedom of Information Act or any other applicable statute or regulation.

(b) Scope. The provisions of this section shall apply only where no other statute or Commission rule provides procedures for requesting confidential treatment respecting particular categories of information (see, e.g., 17 CFR 240.24b-2) or where the Commission has not specified that an alternative procedure be utilized in connection with a particular study, report, investigation, or other matter. The provisions of this section shall not apply to any record which is contained in or is part of a personnel, medical or similar file relating to a Commission member or employee which would normally be exempt from disclosure pursuant to section 552(b)(6) of Title 5, U.S. Code.

(c) Written request for confidential treatment to be submitted with information. (1) Any person who, either voluntarily or pursuant to any requirement of law, submits any information or causes or permits any information to be submitted to the Commission, which information is entitled to confidential treatment and for which no other specific procedure exists for according confidential treatment, may request that the Commission afford confidential treatment under the Freedom of Information Act to such information for reasons of personal privacy or business confidentiality, or for any other reason permitted by Federal law, and should take all steps reason

ably necessary to ensure, as nearly as practicable, that at the time the information is first received by the Commission (i) it is supplied segregated from information for which confidential treatment is not being requested, (ii) it is appropriately marked as confidential, and (iii) it is accompanied by a written request for confidential treatment which specifies the information as to which confidential treatment is requested.

(2) Except in the circumstances covered by paragraph (c)(4), all records which contain information for which a request for confidential treatment is made or the appropriate segregable portions thereof should be marked by the person submitting the records with a prominent stamp, typed legend, or other suitable form of notice on each page or segregable portion of each page, stating Confidential Treatment Requested by [name]." If such marking is impractical under the circumstances, a cover sheet prominently marked “Confidential Treatment Requested by [name]" should be securely attached to each group of records submitted for which confidential treatment is requested. Each of the records transmitted in this manner should be individually marked with an identifying number and code so that they are separately identifiable.

(3) In addition to providing a copy of any written request for confidential treatment required by this section to the Commission personnel receiving the information in question, the person requesting confidential treatment shall also deliver or send by mail a copy of the request (but not the records to which the request applies) to the Freedom of Information Act Officer, Securities and Exchange Commission, Washington, D.C. 20549. The written request shall be clearly and prominently identified on the envelope or other cover and on the top of the first page by the legend “FOIA Confidential Treatment Request” and shall contain the name, address and telephone number of the requestor. The requestor is responsible for informing the Commission promptly of any changes in address or telephone number. In case records submitted are



not individually marked “Confidential (d) Substantiation of request for conTreatment Requested by [name],” the fidential treatment. (1) If it is deterwritten request for confidential treat- mined that records which are the subment should refer to the identifying ject of a request for access under the numbers and codes placed on the Freedom of Information Act are also records.

the subject of a request for confiden(4) In some circumstances, such as tial treatment under this rule and no when a person is testifying in the other grounds appear to exist which course of a Commission investigation would justify the withholding of the or providing documents requested in records [e.g., Freedom of Information the course of a Commission inspection, a

Act Exemption 7(A), 5 U.S.C. it may be impracticable to submit a 552(b)(7)(A)], the Commission's Freewritten request for confidential treat- dom of Information Act Officer ment at the time the information is promptly shall so inform the person first provided to the Commission. In requesting confidential treatment or, no circumstances can the need to

in the case of a request made on comply with the requirements of this behalf of a person other than the subsection justify or excuse any delay in mitter, the person identified as able to submitting information to the Com- provide substantiation, by telephone, mission. Rather in such circum

telegram or express mail and require stances, the person testifying or other- that substantiation of the request for wise submitting information should

confidential treatment be submitted in inform the Commission employee re- ten calendar days. ceiving the information, at the time

(2) Substantiation of a request for the information is submitted or

confidential treatment shall consist of soon thereafter as possible, that the

statement setting forth, to the person is requesting confidential treat

extent appropriate or necessary for ment for the information. The person

the determination of the request for shall then submit a written request for

confidential treatment, the following confidential treatment within 30 days

information regarding the request: of the submission of the information.

(i) The reasons, concisely stated and Any request for confidential treatment submitted pursuant to this para

referring to specific exemptive provi

sions of the Freedom of Information graph shall be clearly and prominently identified as provided in paragraph

Act, why the information should be

withheld from access under the Free(c)(3) of this section and shall be deliv

dom of Information Act; ered or sent by mail both to the Commission personnel who received or is

(ii) The applicability of any specific known to have custody of the informa

statutory regulatory provisions tion and to the Freedom of Informa

which govern or may govern the treattion Act Officer, Securities and Ex

ment of the information; change Commission, Washington, DC

(iii) The existence and applicability 20549.

of any prior determinations by the (5) Where confidential treatment is Commission, other Federal agencies, requested by the submitter on behalf or a court, concerning confidential of other persons, the request should

treatment of the information; identify those persons and provide the

(iv) The adverse consequences to a telephone number and address of such business enterprise, financial or otherperson or the responsible representa- wise, that would result from disclosure tive thereof if the submitter would be of confidential commercial or financial unable to provide prompt substantia- information, including any adverse tion of the request at the appropriate effect on the business' competitive potime.

sition; (6) No determination as to the validi- (v) The measures taken by the busity of any request for confidential ness to protect the confidentiality of treatment will be made until a request the commercial or financial informafor disclosure of the information tion in question and of similar inforunder the Freedom of Information Act mation, prior to, and after, its submisis received.

sion to the Commission;


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