Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 65807 

1See Release No. 34–96906 (Feb. 14, 2023), 88 FR 

10483 (Feb. 21, 2023) (‘‘Proposing Release’’). 

2These amendments are discussed in greater 

detail in Section IV. Economic Analysis. 

■ 56. For Docket No. FAA–2023–1010; 

Airspace Docket No. 23–AGL–15 (88 FR 

54225, August 10, 2023). 

Correction 

■ a. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54225) for each instance of the 

words ‘‘FAA Order JO 7400.11G, 

Airspace Designations and Reporting 

Points, dated August 19, 2022, and 

effective September 15, 2022’’ remove 

those words and add in their place 

‘‘FAA Order JO 7400.11H, Airspace 

Designations and Reporting Points, 

dated August 11, 2023, and effective 

September 15, 2023’’. 

■ b. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54225) for each instance of the 

words ‘‘FAA Order JO 7400.11G, dated 

August 19, 2022, and effective 

September 15, 2022’’ remove those 

words and add in their place ‘‘FAA 

Order JO 7400.11H, dated August 11, 

2023, and effective September 15, 

2023’’. 

■ c. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54225) for each instance of the 

words ‘‘FAA Order JO 7400.11G’’ 

remove those words and add in their 

place ‘‘FAA Order JO 7400.11H’’. 

■ 57. For Docket No. FAA–2023–0735; 

Airspace Docket No. 23–ASW–11 (88 FR 

54233, August 10, 2023). 

Correction 

■ a. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54233) for each instance of the 

words ‘‘FAA Order JO 7400.11G, 

Airspace Designations and Reporting 

Points, dated August 19, 2022, and 

effective September 15, 2022’’ remove 

those words and add in their place 

‘‘FAA Order JO 7400.11H, Airspace 

Designations and Reporting Points, 

dated August 11, 2023, and effective 

September 15, 2023’’. 

■ b. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54233) for each instance of the 

words ‘‘FAA Order JO 7400.11G, dated 

August 19, 2022, and effective 

September 15, 2022’’ remove those 

words and add in their place ‘‘FAA 

Order JO 7400.11H, dated August 11, 

2023, and effective September 15, 

2023’’. 

■ c. In the final rule amending 14 CFR 

part 71 published on August 10, 2023 

(88 FR 54233) for each instance of the 

words ‘‘FAA Order JO 7400.11G’’ 

remove those words and add in their 

place ‘‘FAA Order JO 7400.11H’’. 

■ 58. For Docket No. FAA–2023–1389; 

Airspace Docket No. 23–AGL–19 (88 FR 

62460, September 12, 2023). 

Correction 

■ a. In the final rule amending 14 CFR 

part 71 published on September 12, 

2023 (88 FR 62460) for each instance of 

the words ‘‘FAA Order JO 7400.11G, 

Airspace Designations and Reporting 

Points, dated August 19, 2022, and 

effective September 15, 2022’’ remove 

those words and add in their place 

‘‘FAA Order JO 7400.11H, Airspace 

Designations and Reporting Points, 

dated August 11, 2023, and effective 

September 15, 2023’’. 

■ b. In the final rule amending 14 CFR 

part 71 published on September 12, 

2023 (88 FR 62460) for each instance of 

the words ‘‘FAA Order JO 7400.11G, 

dated August 19, 2022, and effective 

September 15, 2022’’ remove those 

words and add in their place ‘‘FAA 

Order JO 7400.11H, dated August 11, 

2023, and effective September 15, 

2023’’. 

■ c. In the final rule amending 14 CFR 

part 71 published on September 12, 

2023 (88 FR 62460) for each instance of 

the words ‘‘FAA Order JO 7400.11G’’ 

remove those words and add in their 

place ‘‘FAA Order JO 7400.11H’’. 

Issued in Washington, DC, on September 

19, 2023. 

Karen L. Chiodini, 

Acting Manager, Rules and Regulations 

Group. 

[FR Doc. 2023–20615 Filed 9–25–23; 8:45 am] 

BILLING CODE 4910–13–P 

SECURITIES AND EXCHANGE 

COMMISSION 

17 CFR Part 200 

[Release No. 34–98437; PA–60; File No. S7– 

03–23] 

RIN 3235–AN21 

The Commission’s Privacy Act 

Regulations 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Final rule. 

SUMMARY: The Securities and Exchange 

Commission (‘‘Commission’’ or ‘‘SEC’’) 

is adopting amendments to the 

Commission’s regulations under the 

Privacy Act of 1974, as amended 

(‘‘Privacy Act’’). The amendments revise 

the Commission’s regulations under the 

Privacy Act to clarify, update, and 

streamline the language of several 

procedural provisions. 

DATES: Effective: October 26, 2023. 

FOR FURTHER INFORMATION CONTACT: Ray 

McInerney, FOIA/PA Officer, Office of 

FOIA Services, (202) 551–6249; 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 

20549–5041. 

SUPPLEMENTARY INFORMATION: 

I. Introduction 

On February 14, 2023, the 

Commission proposed amendments to 

its existing regulations under the 

Privacy Act, 5 U.S.C. 552a,1 to reflect 

changes to clarify, update, and 

streamline the language of several 

procedural provisions. The Commission 

received sixteen comments on the 

proposed amendments, eleven of which 

were unrelated to the proposed rule. 

After consideration of the comments 

received, the Commission is adopting 

the amendments to its Privacy Act 

regulations as proposed. This final rule 

replaces the Commission’s existing 

Privacy Act regulations in their entirety 

(17 CFR 200.301 through 200.313). 

II. Amendments 

A. Amendments To Update, Clarify, and 

Streamline the Privacy Act Regulations 

The Commission is adopting 

amendments to certain procedural 

provisions to clarify, update, and 

streamline the Commission’s Privacy 

Act regulations.2 The final rule, among 

other things: clarifies the purpose and 

scope of the regulations (Section 

200.301); updates definitions so that the 

processes set forth in the regulations are 

more plainly described (17 CFR 

200.302); simplifies the processes for 

submitting and receiving responses to 

Privacy Act inquiries, requests, and 

administrative appeals (17 CFR 200.303, 

305, 306, 307, and 308); allows for 

requesters to electronically verify their 

identities, including by facsimile, email, 

or an online Commission form (17 CFR 

200.303); provides for a shorter 

Commission response time to Privacy 

Act inquiries as to whether a specific 

system of records maintained by the 

Commission contains a record 

pertaining to the requester, which aligns 

with other relevant time lines (17 CFR 

200.304); updates agency contact 

information (e.g., office names, facsimile 

numbers, email addresses, and physical 

addresses) (17 CFR 200.303, 305, 308, 

and 309); and updates the list of 

Commission systems of records that 

have promulgated rules exempting 

certain records from certain provisions 

of the Privacy Act (17 CFR 200.310). 


lotter on DSK11XQN23PROD with RULES1
65808 Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 

3See, e.g., comments from Anonymous, dated 

Feb. 22, 2023; comments from Vince Navarro, dated 

Feb. 23, 2023; comments from Jonathan Dinkel, 

dated Mar. 1, 2023; comments from Household 

Harry, dated Mar. 1, 2023; comments from Chris 

Carrington, dated Mar. 5, 2023; comments from 

Curtis Higgins, dated Mar. 6, 2023; comments from 

D Skewis, dated Mar. 7, 2023; comments from Nick, 

dated Mar. 19, 2023; comments from Curtis, dated 

Mar. 23, 2023; comments Nathaniel Moraton, dated 

Apr. 7, 2023; and comments from Alexander 

MacCartney, dated Apr. 17, 2023. 

4See, e.g., comments from Nick Ahlers, dated 

Feb. 24, 2023; comments from Angel Rodriguez, 

dated Feb. 27, 2023; comments from Richard 

Russell, dated Mar. 1, 2023; and comments from 

Bernie Bankman Griffin, dated Mar. 6, 2023. 

5See Gillmore comment, dated Feb. 24, 2023. 

6 Id. 

7 Id. 

8 Id. 

B. Revisions to Fee Provisions 

The final rule updates the fee 

provisions to reflect existing practice 

with respect to charging fees for 

duplicating documents. Duplication 

rates are available on the Office of FOIA 

Services’ fee page on the Commission’s 

website. The duplication fees currently 

posted on the website reflect the direct 

costs to the Commission of producing a 

copy, whether in paper or electronic 

format, taking into account various 

factors including the salary of the 

employee(s) performing the work and 

the cost of materials. The Office of FOIA 

Services does not charge for providing 

existing electronic records because such 

a production does not require 

duplication processes, such as scanning 

or commercial copying of hard copies 

that impose direct costs on the 

Commission. The duplication fee posted 

on the Commission’s website is adjusted 

as appropriate to reflect current costs. 

The final rule also codifies the 

existing practice of charging requesters 

the direct costs associated with making 

records available on electronic storage 

devices, as presently reflected on the 

Commission’s FOIA fee website. 

Further, the final rule allows for 

providing requesters with one free copy 

of each record amended or corrected 

pursuant to a request for amendment or 

correction. 

C. Elimination of Certain Provisions 

The amendments eliminate certain 

provisions from the existing regulations, 

as well as two Sections in their entirety. 

The deleted provisions either restate 

language in the Privacy Act, and thus do 

not require elaboration in the 

Commission’s regulations; have been 

incorporated into other provisions 

within the final rule; or are otherwise 

unnecessary. The amendments remove 

the following provisions of the existing 

rule: 

Title 17, section 200.305: This provision, 

which provides special procedures for 

requests for medical records, is unnecessary 

as the medical records the Commission 

typically maintains, whether about 

Commission staff or other individuals, are 

generally available to those individuals 

through other means, and the Commission 

has never used special procedures for 

medical records in connection with Privacy 

Act requests. 

Title 17, section 200.307(b): This provision 

restates the standards applied in reviewing 

requests for amendment or correction of 

records. These standards are set forth in the 

Privacy Act. Therefore, it is unnecessary to 

restate them in the Commission’s regulations. 

Title 17, section 200.309(a): This provision 

describes the standards for extending time to 

respond to requests. This section uses 

language from the Freedom of Information 

Act (5 U.S.C. 552(a)(6)(B)(iii)) rather than the 

Privacy Act. Title 17, sections 200.304(d)(1), 

304(d)(2)(ii), 307(b), and 309(a)(3) of the final 

rule contain information about extensions of 

time based on the requirements of the 

Privacy Act. 

Title 17, sections 200.309(b), (c), (d), and 

(e): These provisions are unnecessary as they 

are not contemplated by the statute, are 

covered elsewhere in the final rule, or are 

obsolete due to changes in technology 

affecting how Privacy Act requests are 

processed. 

Title 17, section 200.311: This provision 

restates the statutory penalties set forth in the 

Privacy Act (5 U.S.C. 552a(i)). Accordingly, 

recitation within Commission regulations is 

unnecessary. 

D. Addition of Provisions 

The final amendments add a 

provision for processing requests by 

individuals for an accounting of certain 

record disclosures about the requester, 

to include the date, nature, and purpose 

of each disclosure, that the Commission 

has made available to another person, 

organization, or agency (17 CFR 200.307 

of the final rule). While the statute 

allows for individuals to request such 

an accounting (5 U.S.C. 552a(c)(3)), the 

Commission’s existing rule has no such 

provision. The final rule also includes a 

provision that formally implements a 

90-day time period for requesters to file 

administrative appeals (17 CFR 200.308 

of the final rule). The 90-day period is 

appropriate because Privacy Act 

requests for access to records are 

concurrently processed as Freedom of 

Information Act (‘‘FOIA’’) requests and 

the FOIA sets forth a 90-day deadline to 

file an administrative appeal. Because of 

the overlap with FOIA, Privacy Act 

requesters are currently informed they 

have 90 days to file an administrative 

appeal in response to an adverse 

decision. The final rule codifies this 

current procedure. 

E. Public Comments 

The Commission received 16 

comments in response to the proposed 

rulemaking. Eleven of the comments 

concerned subjects that were unrelated 

to the proposed rule and the Privacy Act 

in general.3 Four comments approved of 

the proposed rule in its entirety.4

One commenter supported several 

provisions in the proposed rule, but 

expressed concern regarding revisions 

to the fee provisions.5 Specifically, the 

commenter indicated that charging 

requesters the direct costs associated 

with making records available on 

electronic storage devices might 

‘‘potentially discourage individuals 

from exercising their rights under the 

Privacy Act, particularly those who may 

not have the financial means to pay for 

the direct costs associated with 

obtaining records.’’ 6 The overwhelming 

majority of records that are responsive 

to Privacy Act requests are provided in 

electronic format. The Office of FOIA 

Services does not charge for providing 

existing electronic records unless the 

volume of electronic records is such that 

production requires an electronic 

storage device. Although the Office of 

FOIA Services requires fees for 

production of records on an electronic 

storage device, no such fees were 

charged from 2015 through 2022. 

Typically, production of voluminous 

electronic records can be accomplished 

with secure file sharing platforms. 

Electronic storage devices would only 

be used at the election of the requester, 

and we expect such a request would be 

made only if the cost would not be a 

significant impediment. The 

Commission collected no fees for 

processing Privacy Act requests during 

fiscal years 2015 through 2022, whether 

electronic or otherwise. The 

Commission is not making any changes 

in response to this comment because it 

anticipates that it will generally be able 

to produce even voluminous electronic 

records with file sharing platforms. 

The same commenter also expressed 

concern that that the deletion of certain 

provisions within the existing 

regulations would eliminate protections 

to individuals’ privacy rights.7 As an 

example, the commenter stated that the 

deletion of 17 CFR 200.305 might make 

it more difficult for individuals to 

access their records.8 Under the existing 

rule at 17 CFR 200.305, the Commission 

may require the requester to submit a 

signed statement by a physician or a 

mental health professional or the 

Commission may initially disclose the 

records to a physician or a mental 

health professional for their review. 

Obtaining a statement from a physician 

or mental health professional and/or 


lotter on DSK11XQN23PROD with RULES1
Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 65809 

9 15 U.S.C. 78w(a). 

10 15 U.S.C. 78c(f). 

11One of the systems of records identified in the 

existing rule is obsolete. Another system of records 

had its name changed, and a new system of records 

was added. 

having a physician or mental health 

professional review an individual’s 

records prior to disclosure would result 

in additional processing time. Deletion 

of existing 17 CFR 200.305 will make it 

easier for a requester to obtain their 

records. Therefore, the Commission is 

not making any changes from its 

proposal in response to this comment. 

III. Other Matters 

If any of the provisions of these rules, 

or the application thereof to any person 

or circumstance, is held to be invalid, 

such invalidity shall not affect other 

provisions or application of such 

provisions to other persons or 

circumstances that can be given effect 

without the invalid provision or 

application. 

Pursuant to the Congressional Review 

Act, the Office of Information and 

Regulatory Affairs has designated these 

rules as not a ‘‘major rule,’’ as defined 

by 5 U.S.C. 804(2). 

IV. Economic Analysis 

The Commission is sensitive to the 

economic effects, including the costs 

and benefits that result from its rules. 

Section 23(a)(2) of the Securities 

Exchange Act of 1934 (‘‘Exchange Act’’) 

requires the Commission, in making 

rules pursuant to any provision of the 

Exchange Act, to consider among other 

matters the impact any such rule would 

have on competition and prohibits any 

rule that would impose a burden on 

competition that is not necessary or 

appropriate in furtherance of the 

purposes of the Exchange Act.9 Further, 

Section 3(f) of the Exchange Act 

requires the Commission, when 

engaging in rulemaking where it is 

required to consider or determine 

whether an action is necessary or 

appropriate in the public interest, to 

consider, in addition to the protection of 

investors, whether the action will 

promote efficiency, competition, and 

capital formation.10

As explained in the Proposing Release 

and discussed further below, the 

Commission believes that the economic 

effects of the final rule will be limited. 

The Commission notes that, where 

possible, it has attempted to quantify 

the costs, benefits, and effects on 

efficiency, competition, and capital 

formation expected to result from the 

final amendments. In some cases, 

however, the Commission is unable to 

quantify the economic effects because it 

lacks the information necessary to 

provide a reasonable estimate. 

Additionally, some of the potential 

benefits of the amendments are 

inherently difficult to quantify. 

The final amendments fall into four 

categories: (1) revisions to procedural 

provisions; (2) revisions to certain fee 

provisions; (3) the elimination of certain 

unnecessary provisions; and (4) the 

addition of a new provision for 

requesting an accounting of record 

disclosures. We discuss each of these in 

turn below. 

First, we are amending certain 

procedural provisions. Most of these 

changes codify existing practice, 

including: (1) adding methods for 

submitting Privacy Act inquiries, 

requests, and administrative appeals; (2) 

clarifying the procedures for submitting 

requests for information or records 

about oneself; (3) clarifying certain 

procedures for verification of identity, 

including options available for inperson or not in-person verification and 

necessary documentation; (4) clarifying 

procedures for submitting an 

administrative appeal; (5) codifying the 

existing practice of providing requesters 

90 days to file an administrative appeal; 

and (6) correctly identifying the 

Commission systems of records that are 

exempt under the Privacy Act.11 We 

believe that adoption of the final rule 

will have minimal impact on Privacy 

Act requesters because it largely codifies 

existing practices. Adoption of the final 

rule could benefit the public and 

improve efficiency by decreasing the 

time in which the Commission responds 

to inquiries, requests, and appeals. 

Furthermore, these amendments may 

reduce potential confusion among 

Privacy Act requesters with regard to 

certain existing procedures, which 

could further benefit the public. In 

particular, because Privacy Act requests 

for access to records are also processed 

as FOIA requests and the FOIA sets 

forth a 90-day deadline to file an 

administrative appeal, Privacy Act 

requesters are currently informed they 

have 90 days to file an administrative 

appeal in response to an adverse 

decision. We believe that codifying this 

existing practice would benefit 

requesters by removing any uncertainty 

as to when appeals must be filed. In 

addition, with respect to the provisions 

on verification of identity, the 

amendments also explicitly provide for 

an alternative electronic identification 

option through processes made 

available on the Commission’s website. 

By clarifying and supplementing the 

available options for verification, these 

amendments may allow requesters to 

more efficiently choose a verification 

process that is most appropriate for 

them. We do not expect the 

amendments to the procedural 

provisions to result in additional costs 

to any member of the public. 

Second, we are revising the provision 

concerning fees charged for duplication. 

This includes: (1) determining 

duplication fees based on the direct cost 

to the Commission as set forth on the 

FOIA fee page on the Commission’s 

website; (2) codifying the existing 

practice of charging requesters the direct 

costs associated with making records 

available on electronic storage devices; 

and (3) clarifying that requesters will 

receive one free copy of each record 

corrected or amended pursuant to a 

request for amendment. 

The amendments to the fee 

procedures would benefit Privacy Act 

requesters by removing potential 

confusion about the cost of obtaining 

records and the cost of making records 

available on electronic storage devices. 

We do not anticipate that any of the 

changes to the fee procedures would 

impose significant new costs on Privacy 

Act requesters or have any other 

economic impact. 

Prior to July 2018, duplication costs 

for FOIA and Privacy Act requesters 

were 24 cents per page as set by contract 

with a commercial copier. Since that 

time, duplication costs have been set at 

15 cents per page, which reflects the 

direct cost to the Commission. 

Duplication fees may change in the 

future, to the extent that the 

Commission’s direct costs for 

duplicating materials increase or 

decrease. 

The table below shows the number of 

Privacy Act requests processed by the 

Commission during fiscal years 2015 

through 2022 and that, during those 

years, the Commission collected no fees 

for processing requests received under 

the Privacy Act. 

Fiscal year Requests 

processed 

Fees 

collected for 

processing 

requests 

2015 ................ 134 $0.00 

2016 ................ 155 0.00 

2017 ................ 95 0.00 

2018 ................ 283 0.00 

2019 ................ 162 0.00 

2020 ................ 159 0.00 

2021 ................ 255 0.00 

2022 ................ 261 0.00 

From fiscal years 2015 through 2022 

requesters were not charged fees 

because either no records were provided 

or the requester was provided with 


lotter on DSK11XQN23PROD with RULES1
65810 Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 

12See Gillmore comment, dated Feb. 24, 2023. 

13 Id. 

14 5 U.S.C. 552a(c)(3). 

15 5 U.S.C. 605(b). 

16 44 U.S.C. 3501 et seq. 

existing electronic records, for which a 

fee is not charged. There were no 

requests processed that required 

production of hard copy records, the 

scanning of hard copies, or production 

in another media, such as an electronic 

storage device, and, consequently, no 

requests that would have imposed direct 

costs on the Commission. 

Given the lack of chargeable 

duplication fees in recent years, the 

Commission anticipates that the 

changes to duplication fees (including 

fees for producing materials in 

electronic format) would not result in 

significant additional costs for 

requesters. Further, these amendments 

largely codify existing practices 

regarding fees for duplication and 

production on other types of media and, 

like the existing regulations, do not 

charge fees for searching or retrieving 

records. As noted, one commenter 

indicated that charging requesters the 

direct costs associated with making 

records available on electronic storage 

devices might ‘‘potentially discourage 

individuals from exercising their rights 

under the Privacy Act, particularly 

those who may not have the financial 

means to pay for the direct costs 

associated with obtaining records.’’ 12

However, as discussed, this amendment 

codifies existing practice. Moreover, 

from 2015 to 2022, no such fees were 

charged. Accordingly, we do not expect 

significant changes in incentives for 

requesters to make a request under the 

Privacy Act. 

The final rule clarifies that requesters 

will receive one free copy of each record 

corrected or amended pursuant to a 

request for amendment. This revision 

codifies an existing practice and would 

therefore not impose any additional 

burden on requesters. 

Third, the Commission is eliminating 

certain provisions in its Privacy Act 

regulations. The Commission does not 

anticipate that the removal of 17 CFR 

200.305 will have any meaningful 

economic effects. The existing provision 

provides special procedures for requests 

for medical records, but the medical 

records the Commission typically 

maintains, whether about Commission 

staff or other individuals, are generally 

available to those individuals through 

other means, and the Commission has 

never used special procedures for 

medical records in connection with 

Privacy Act requests. One commenter 

indicated that the deletion of this 

provision might make it more difficult 

for requestors to obtain medical 

records; 13 however, as noted above, 

requestors would still be able to access 

these records directly, which would 

involve less time than using the process 

outlined in existing 17 CFR 200.305. 

The Commission does not expect the 

elimination of 17 CFR 200.307(b) and 

200.311 to result in any economic 

effects because they restate language in 

the Privacy Act. 

There would also be minimal 

economic effects from the elimination of 

17 CFR 200.309(a), which describes the 

standards for extending time to respond 

to requests, because other provisions in 

the final rule (17 CFR 200.304(d), 

200.306(b), and 200.307(d)) address the 

procedures and reasons for extending 

the time to respond to inquiries and 

requests. Similarly, the Commission 

does not expect the elimination of 17 

CFR 200.309(c) and 200.309(d) to result 

in meaningful economic effects. These 

provisions require giving notice to a 

requester when delay will result from 

the fact that the subject records are in 

use by a member of the Commission or 

its staff and when records are lost. The 

final rule would require the Office of 

FOIA Services to notify requesters of 

reasons for delay and of the fact that a 

record does not exist, so the specific 

information in 17 CFR 200.309(c) and 

200.309(d) is duplicative. 

The elimination of 17 CFR 200.309(b) 

would remove the concept of an 

‘‘effective date of action’’ as it relates to 

mailing acknowledgements or responses 

by the Commission. This amendment 

could increase the Commission’s 

flexibility in acknowledging or 

responding to requests while also 

potentially increasing uncertainty for 

requesters, but these effects would only 

be realized to the extent that requesters 

and the Commission rely on mail to 

make and respond to requests, and the 

Commission expects that use of mail 

will be infrequent going forward 

because most communications with 

requesters occur by email. 

The elimination of 17 CFR 

200.309(e)(1), which prohibits oral 

requests, would have no substantive 

effect, because the existing regulations, 

like the final rule, elsewhere require 

Privacy Act requests to be made in 

writing. The elimination of 17 CFR 

200.309(e)(2), which states that a 

misdirected request will be deemed 

received only once it is received by a 

Privacy Act Officer and that an appeal 

will not be considered unless the 

request was in fact received by a Privacy 

Act Officer, removes an unnecessary 

provision because the final rule at 17 

CFR 200.303(a) and 200.305(a) has the 

same effect by requiring that requesters 

use the methods described in the final 

rule to submit a Privacy Act inquiry or 

request. 

Finally, the Commission is adding a 

provision outlining the procedure for 

making requests for an accounting of 

record disclosures. The existing rules do 

not provide for such a procedure, 

although the Commission is obligated, 

by statute, to provide such information 

upon request.14 This provision would 

reduce the potential confusion among 

Privacy Act requesters about the exact 

procedure that they would have to 

follow with regard to this type of 

request, and therefore this provision 

would generally benefit the public. 

Furthermore, by providing clarity about 

the procedure that would have to be 

followed when requesting an accounting 

of record disclosures, the provision 

would likely reduce the cost to the 

public of submitting this type of request. 

The Commission requested comments 

on all aspects of the benefits and costs 

of the proposal. After evaluating all 

comments, the Commission continues to 

believe that the amendments to the 

Commission’s Privacy Act regulations 

will not have any significant impact on 

competition or capital formation and 

may result in a slight improvement in 

operational efficiency. 

V. Regulatory Flexibility Act 

Certification 

Pursuant to Section 605(b) of the 

Regulatory Flexibility Act of 1980,15 the 

Commission certified that, when 

adopted, the amendments to 17 CFR 

200.301 through 200.313 would not 

have a significant economic impact on 

a substantial number of small entities. 

This certification, including our basis 

for the certification, was included in the 

proposing release. The Commission 

solicited comments on the 

appropriateness of its certification, but 

received none. The Commission is 

adopting the final rules in the form 

published in the Proposing Release. 

VI. Paperwork Reduction Act 

The Commission stated in the 

Proposing Release that the proposed 

amendments to the Privacy Act 

regulations do not contain any 

collection of information as defined by 

the Paperwork Reduction Act of 1995 

(‘‘PRA’’).16 The Commission also 

determined that the proposed 

amendments would not create any new 

filing, reporting, recordkeeping, or 

disclosure reporting requirements. 

Accordingly, the Commission did not 

submit the proposed amendments to the 


lotter on DSK11XQN23PROD with RULES1
Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 65811 

17 44 U.S.C. 3507(d) and 5 CFR 1320.11. 

Office of Management and Budget for 

review under the PRA.17 The 

Commission solicited comments on 

whether its conclusion that there are no 

new collections of information is 

correct, and it did not receive any 

comments. 

Statutory Authority 

The amendments contained herein are 

being adopted under the authority set 

forth in 5 U.S.C. 552a(f), 552a(j), 

552a(k); and 15 U.S.C. 78d–1 and 

78w(a). 

List of Subjects in 17 CFR Part 200 

Administrative practice and 

procedure; Privacy Act. 

Text of Amendments 

For the reasons stated in the 

preamble, the Commission is amending 

title 17, chapter II of the Code of Federal 

Regulations as follows: 

PART 200—ORGANIZATION; 

CONDUCT AND ETHICS; AND 

INFORMATION AND REQUESTS 

■ 1. The authority citation for part 200 

continues to read as follows: 

Authority: 5 U.S.C. 552, 552a, 552b, and 

557; 11 U.S.C. 901 and 1109(a); 15 U.S.C. 

77c, 77e, 77f, 77g, 77h, 77j, 77o, 77q, 77s, 

77u, 77z–3, 77ggg(a), 77hhh, 77sss, 77uuu, 

78b, 78c(b), 78d, 78d–1, 78d–2, 78e, 78f, 78g, 

78h, 78i, 78k, 78k–1, 78l, 78m, 78n, 78o, 

78o–4, 78q, 78q–1, 78w, 78t–1, 78u, 78w, 

78ll(d), 78mm, 78eee, 80a–8, 80a–20, 80a–24, 

80a–29, 80a–37, 80a–41, 80a–44(a), 80a– 

44(b), 80b–3, 80b–4, 80b–5, 80b–9, 80b–10(a), 

80b–11, 7202, and 7211 et seq.; 29 U.S.C. 

794; 44 U.S.C. 3506 and 3507; Reorganization 

Plan No. 10 of 1950 (15 U.S.C. 78d nt); sec. 

8G, Pub. L. 95–452, 92 Stat. 1101 (5 U.S.C. 

App.); sec. 913, Pub. L. 111–203, 124 Stat. 

1376, 1827; sec. 3(a), Pub. L. 114–185, 130 

Stat. 538; E.O. 11222, 30 FR 6469, 3 CFR, 

1964–1965 Comp., p. 36; E.O. 12356, 47 FR 

14874, 3 CFR, 1982 Comp., p. 166; E.O. 

12600, 52 FR 23781, 3 CFR, 1987 Comp., p. 

235; Information Security Oversight Office 

Directive No. 1, 47 FR 27836; and 5 CFR 

735.104 and 5 CFR parts 2634 and 2635, 

unless otherwise noted. 

* * * * * 

■ 2. Subpart H is revised to read as 

follows: 

Subpart H—Regulations Pertaining to the 

Privacy of Individuals and Systems of 

Records Maintained by the Commission 

Sec. 

200.301 Purpose and scope. 

200.302 Definitions. 

200.303 Procedures for making inquiries 

and requests for access. 

200.304 Responses to inquiries and requests 

for access. 

200.305 Requests for amendment or 

correction of records. 

200.306 Review of requests for amendment 

or correction. 

200.307 Requests for an accounting of 

record disclosures. 

200.308 Administrative appeals. 

200.309 Fees. 

200.310 Specific exemptions. 

200.311 Inspector General exemptions. 

200.312 [Reserved] 

Subpart H—Regulations Pertaining to 

the Privacy of Individuals and Systems 

of Records Maintained by the 

Commission 

§ 200.301 Purpose and scope. 

(a) This subpart contains the rules of 

the Securities and Exchange 

Commission implementing the Privacy 

Act of 1974, as amended (Pub. L. 93– 

579, 5 U.S.C. 552a). These rules are 

applicable to all records in systems of 

records maintained by the Commission. 

They set forth the procedures by which 

individuals may make an inquiry 

regarding or request access to records 

about themselves, request an 

amendment or correction of those 

records, and request an accounting of 

disclosures of those records by the 

Commission. 

(b) This subpart also lists the 

Commission systems of records that are 

exempt from some of the provisions of 

the Privacy Act of 1974. These 

exemptions are authorized under the 

Privacy Act, 5 U.S.C. 552a(j) and (k). 

§ 200.302 Definitions. 

In addition to the definitions 

contained in 5 U.S.C. 552a(a), the 

following definitions apply in this 

subpart: 

Commission means the Securities and 

Exchange Commission. 

Inquiry means a request described in 

Privacy Act section (f)(1). 

Privacy Act means the Privacy Act of 

1974, as amended (5 U.S.C. 552a). 

Request for access to a record means 

a request made under Privacy Act 

section (d)(1). 

Request for amendment or correction 

of a record means a request made under 

Privacy Act section (d)(2). 

Request for an accounting means a 

request made under Privacy Act section 

(c)(3). 

Requester means an individual who 

makes an inquiry, a request for access, 

a request for amendment or correction, 

or a request for an accounting. 

§ 200.303 Procedures for making inquiries 

and requests for access. 

Requesters seeking to know if a 

specific system of records maintained 

by the Commission contains a record 

pertaining to them may submit an 

inquiry to the Commission. Requesters 

may also request access to records 

pertaining to them in a system of 

records maintained by the Commission. 

(a) How to make an inquiry or request 

for access. An inquiry or request for 

access must be in writing and may be 

submitted by email (foiapa@sec.gov) or 

online at the Commission’s website at 

https://www.sec.gov/forms/request_

public_docs. A requester may 

alternatively submit an inquiry or 

request for access by mail to the 

Securities and Exchange Commission, 

Office of FOIA Services, 100 F Street 

NE, Washington, DC 20549 or other 

mailing address or facsimile number 

published on the Commission’s website 

at https://www.sec.gov/oso/help/foiacontact.html. Inquiries and requests for 

access that are submitted by mail should 

include the words ‘‘PRIVACY ACT 

REQUEST’’ in capital letters at the top 

of the letter and on the face of the 

envelope. 

(b) Information to be included in an 

inquiry or request for access. Each 

inquiry or request for access must 

include information that will assist the 

Commission in identifying those records 

the requester is seeking information 

about or access to. The following 

information, as relevant, should be 

submitted with the request: name of the 

individual whose record is sought; 

identifying data that will help locate the 

record (e.g., maiden name and period or 

place of employment); and the 

requester’s name, address, telephone 

number, and email address. Where 

practicable, the requester should 

identify the system of records that is the 

subject of the inquiry or request for 

access by reference to the Commission’s 

systems of records notices, which are 

published in the Federal Register. The 

Commission’s systems of records 

notices can also be found on the 

Commission’s website at https://

www.sec.gov/oit/system-records-notices. 

If additional information is required 

before a request can be processed, the 

requester will be so advised. 

(c) Verification of identity. A 

requester making an inquiry or 

requesting access to a record must verify 

his or her identity before information is 

given or access is granted unless the 

information is required to be disclosed 

under the Freedom of Information Act 

(FOIA), 5 U.S.C. 552. 

(1) In-person verification. A requester 

may appear at any of the Commission 

offices, which are listed on the 

Commission’s website at https://

www.sec.gov/divisions.shtml, and 

furnish documentation to establish his 

or her identity. Such documentation 

might include a valid driver’s license, 

passport, birth certificate, employee or 


lotter on DSK11XQN23PROD with RULES1
65812 Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 

military identification card, or Medicare 

card. Sufficiency of the documentation 

in verifying identity will be determined 

by the Commission staff member 

reviewing such documentation. 

(2) Not in-person verification. A 

requester who does not appear in person 

must verify his or her identity using one 

of the following methods: 

(i) A requester may use electronic 

identity proofing and authentication 

processes as made available through the 

Commission’s website; or 

(ii) A requester may submit a copy of 

documentation to establish the 

requester’s identity (examples of such 

documentation are noted in paragraph 

(c)(1) of this section). 

(3) Submission of signed statement. 

For all verification methods, a requester 

must also submit a statement attesting to 

the requester’s identity and a statement 

that the requester understands that a 

knowing and willful request for or 

acquisition of a record pertaining to an 

individual under false pretenses is a 

criminal offense subject to a $5,000 fine. 

Sample statements and the requirements 

for completing them are available 

through the Commission’s website. 

(4) Additional procedures for 

verifying identity. When it appears 

appropriate, the Commission’s Office of 

FOIA Services may make such other 

arrangements for the verification of 

identity as are reasonable under the 

circumstances and appear to be effective 

to prevent unauthorized disclosure of, 

or access to, individual records. 

§ 200.304 Responses to inquiries and 

requests for access. 

(a) Initial review. Inquiries and 

requests for access will be referred to 

the Commission’s Office of FOIA 

Services which will make the initial 

determination as to whether the inquiry 

or request for access will be granted. 

(b) Grant of inquiry or request for 

access. If it is determined that an 

inquiry or request for access will be 

granted, the requester will be advised in 

writing. When a request for access is 

granted, in full or in part, a requester 

may elect to receive a copy of the 

requested record electronically, by mail, 

or in person, and the Office of FOIA 

Services will comply with that election 

to the extent practicable. 

(c) Denial of an inquiry or request for 

access. If it is determined that no 

response will be given to an inquiry or 

that a request for access will not be 

granted, the requester will be notified of 

that fact in writing and given the 

reasons for the denial. The requester 

also will be advised of his or her right 

to seek review by the Office of the 

General Counsel of the initial decision 

in accordance with the procedures set 

forth in § 200.308. 

(d) Time for acting on inquiries and 

requests for access—(1) Responses to 

inquiries. The Office of FOIA Services 

will endeavor to inform a requester 

making an inquiry as to whether the 

named system of records contains a 

record pertaining to him or her within 

10 days (excluding Saturdays, Sundays, 

and Federal holidays) of receipt of such 

a request. Whenever a response to an 

inquiry cannot be made within the 10 

days, the Office of FOIA Services will 

inform the requester of the reasons for 

the delay and the date by which a 

response may be anticipated. 

(2) Acknowledgement of and 

responses to requests for access. (i) 

Except where the requester appears in 

person, the Office of FOIA Services will 

endeavor to acknowledge, in writing, 

receipt of a request for access within 10 

days (excluding Saturdays, Sundays, 

and Federal holidays) of receipt of such 

a request. 

(ii) The Office of FOIA Services will 

endeavor to respond to a request for 

access to a record pertaining to a 

requester within 30 days (excluding 

Saturdays, Sundays, and Federal 

holidays) after the receipt of the request. 

If, for good cause shown, a longer period 

of time is required, the Office of FOIA 

Services will inform the requester in 

writing of the reasons for the delay, and 

indicate when access is expected to be 

granted or denied. 

(3) Appearance in person. When a 

requester appears in person at the 

Commission to make a request for 

access and the requester provides the 

required information and verification of 

identity, the Office of FOIA Services’ 

staff, if practicable, will indicate 

whether it is likely that the requester 

will be given access to the records and, 

if so, when and under what 

circumstances such access will be given. 

(e) Exclusion for certain records. 

Nothing contained in these rules allows 

a requester to obtain access to any 

records or information compiled in 

reasonable anticipation of a civil action 

or proceeding. 

§ 200.305 Requests for amendment or 

correction of records. 

(a) How to a make request for 

amendment or correction. A written 

request for amendment or correction of 

records may be submitted by email 

(foiapa@sec.gov) or online at the 

Commission’s website at https://

www.sec.gov/forms/request_public_

docs. A requester may alternatively 

submit a request for amendment or 

correction by mail to the Securities and 

Exchange Commission, Office of FOIA 

Services, 100 F Street NE, Washington, 

DC 20549 or other mailing address or 

facsimile number published on the 

Commission’s website at https://

www.sec.gov/oso/help/foiacontact.html. Requests that are 

submitted by mail should include the 

words ‘‘PRIVACY ACT REQUEST’’ in 

capital letters at the top of the letter and 

on the face of the envelope. 

(1) Information to be included in 

requests for amendment or correction. 

Each request for amendment or 

correction must reasonably describe the 

record sought to be amended or 

corrected. Such description should 

include, for example, relevant names, 

dates, and subject matter to permit the 

record to be located among the records 

maintained by the Commission. The 

requester will be advised promptly if 

the record cannot be located on the 

basis of the description given and if 

further identifying information is 

necessary before the request can be 

processed. Verification of the requester’s 

identity as set forth in § 200.303(c) will 

also be required before an amendment 

or correction is undertaken. 

(2) Basis for amendment or correction. 

A requester seeking an amendment or 

correction to a record must specify the 

substance of the amendment or 

correction and set forth facts and 

provide such materials that would 

support the contention that the record 

as maintained by the Commission is not 

accurate, timely, or complete or, where 

a request seeks deletion of information, 

that the record is not necessary and 

relevant to accomplish a statutory 

purpose of the Commission as 

authorized by law or by Executive Order 

of the President. 

(b) Acknowledgement of requests for 

amendment or correction. Receipt of a 

request for amendment or correction 

will be acknowledged in writing within 

10 days (excluding Saturdays, Sundays, 

and Federal holidays) after such request 

has been received. When a request for 

amendment or correction is made in 

person, the requester will be given a 

written acknowledgement when the 

request is presented. The 

acknowledgement will describe the 

request received and indicate when it is 

anticipated that action will be taken on 

the request. 

§ 200.306 Review of requests for 

amendment or correction. 

(a) Initial review. Requests for 

amendment or correction to records 

pertaining to that individual will be 

referred to the Commission’s Office of 

FOIA Services for an initial 

determination. 


lotter on DSK11XQN23PROD with RULES1
Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 65813 

(b) Time for acting on requests. Initial 

review of a request for amendment or 

correction will be completed promptly 

and the Office of FOIA Services will 

endeavor to respond to a request within 

30 days (excluding Saturdays, Sundays, 

and Federal holidays) from the date the 

request was received, unless 

circumstances preclude completion of 

review within that time. If the 

anticipated completion date indicated 

in the acknowledgement cannot be met, 

the requester will be advised in writing 

of the delay and the reasons for the 

delay, and also advised when action is 

expected to be completed. 

(c) Grant of requests for amendment 

or correction. If a request for 

amendment or correction is granted in 

whole or in part, the Office of FOIA 

Services will: 

(1) Advise the requester in writing of 

the extent to which it has been granted; 

(2) Amend or correct the record 

accordingly; and 

(3) Where an accounting of 

disclosures of the record has been kept 

pursuant to 5 U.S.C. 552a(c), advise all 

previous recipients of the record of the 

fact that the record has been amended 

or corrected and the substance of the 

amendment or correction. 

(d) Denial of requests for amendment 

or correction. If the request for 

amendment or correction is denied in 

whole or in part, the Office of FOIA 

Services will: 

(1) Promptly advise the requester in 

writing of the extent to which the 

request has been denied; 

(2) State the reasons for the denial of 

the request; 

(3) Describe the procedures to appeal 

the denial of the request for amendment 

or correction, including the name and 

address of the person to whom the 

appeal is to be addressed; and 

(4) Inform the requester that the Office 

of FOIA Services will provide 

information and assistance to the 

individual in perfecting an appeal of the 

initial decision. 

§ 200.307 Requests for an accounting of 

record disclosures. 

(a) How made and addressed. Except 

where accountings of disclosures are not 

required to be kept or provided (as 

stated in paragraph (e) of this section), 

requesters may ask the Commission to 

provide an accounting of a disclosure of 

a record about the requester that the 

Commission has made to another 

person, organization, or agency. The 

request for an accounting should 

identify each particular record in 

question and must be made in writing. 

The request may be submitted by email 

(foiapa@sec.gov) or online at the 

Commission’s website at https://

www.sec.gov/forms/request_public_

docs. A requester may alternatively 

submit a request for an accounting by 

mail to the Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE, Washington, DC 20549 

or other mailing address or facsimile 

number published on the Commission’s 

website at https://www.sec.gov/oso/ 

help/foia-contact.html. Requests for 

accounting that are submitted by mail 

should include the words ‘‘PRIVACY 

ACT REQUEST’’ in capital letters at the 

top of the letter and on the face of the 

envelope. 

(b) Verification of identity. 

Verification of the requester’s identity as 

set forth in section 202.303(c) will be 

required before an accounting is given. 

(c) Acknowledgement of requests for 

an accounting of record disclosures. The 

Office of FOIA Services will endeavor to 

acknowledge, in writing, receipt of a 

request for an accounting of record 

disclosures within 10 days of receipt of 

such a request (excluding Saturdays, 

Sundays, and Federal holidays). When a 

request for an accounting of record 

disclosures is made in person, the 

requester will be given a written 

acknowledgement when the request is 

presented. The acknowledgement will 

describe the request received and 

indicate when it is anticipated that 

action will be taken on the request. 

(d) Time for acting on requests. The 

Office of FOIA Services will endeavor to 

respond to a request for an accounting 

of record disclosures within 30 days 

(excluding Saturdays, Sundays, and 

Federal holidays) from the date the 

request was received, unless the 

requester is notified in writing within 

the 30-day period that, for good cause 

shown, a longer period of time is 

required. In such cases, the requester 

will be informed in writing of the 

reasons for the delay and an indication 

will be given as to when it is anticipated 

that an accounting may be granted or 

denied. 

(e) Grant of request of accounting. If 

it is determined that a request for an 

accounting will be granted, the 

requester will be advised in writing. 

When a request for access is granted, in 

full or in part, the information will be 

provided electronically, by mail, or in 

person at the requester’s election. 

(f) Denial of a request for accounting. 

If it is determined that the request will 

not be granted, the requester will be 

notified of that fact in writing and given 

the reasons for the denial. The requester 

also will be advised of his or her right 

to seek review by the Office of the 

General Counsel of the initial decision 

in accordance with the procedures set 

forth in § 200.308. 

(g) Where accountings of record 

disclosures are not required. The 

Commission is not required to provide 

accountings of disclosures to requesters 

where they relate to: 

(1) Disclosures made to officers and 

employees within the Commission and 

disclosures made under the FOIA, 5 

U.S.C. 552; 

(2) Disclosures made to law 

enforcement agencies for authorized law 

enforcement activities in response to 

written requests from those law 

enforcement agencies specifying the law 

enforcement activities for which 

disclosures are sought; or 

(3) Disclosures made from law 

enforcement systems of records that 

have been exempted from accounting 

requirements. 

§ 200.308 Administrative appeals. 

(a) Administrative review. A requester 

who has been notified pursuant to 

§ 200.304(c), § 200.306(d), or 

§ 200.307(d) that his or her inquiry or 

request has been denied in whole or in 

part, or who has received no response 

to a request for access or to amend 

within 30 days (excluding Saturdays, 

Sundays, and Federal holidays) after his 

or her request was received by the 

Office of the FOIA Services, may appeal 

to the Office of the General Counsel the 

adverse determination. 

(1) Appeals must be received within 

90 calendar days of the date of the 

written denial of an inquiry or request 

and must be received no later than 11:59 

p.m., eastern time, on the 90th day. 

(2) The appeal should be in writing 

and should provide the assigned request 

number, a copy of the original request, 

and the adverse determination. The 

appeal should also explain why the 

requester contends any adverse 

determination was in error. The 

requester may state such facts and cite 

such legal or other authorities as the 

requester may consider appropriate in 

support of the appeal. If only a portion 

of the adverse determination is 

appealed, the requester should specify 

which part is being appealed. 

(3) The appeal may be submitted by 

email (foiapa@sec.gov) or online at the 

Commission’s website at https://

www.sec.gov/forms/request_public_

docs. A requester may alternatively 

submit an appeal by mail to the 

Securities and Exchange Commission, 

Office of FOIA Services, 100 F Street 

NE, Washington, DC 20549 or other 

mailing address or facsimile number 

published on the Commission’s website 

at https://www.sec.gov/oso/help/foiacontact.html. 


lotter on DSK11XQN23PROD with RULES1
65814 Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 

(4) The Office of the General Counsel 

will endeavor to make a determination 

with respect to an appeal within 30 days 

after the receipt of such appeal 

(excluding Saturdays, Sundays, and 

Federal holidays) unless, for good cause 

shown, the Office of the General 

Counsel extends that period. If such an 

extension is made, the individual who 

is appealing will be advised in writing 

of the extension, the reasons therefor, 

and the anticipated date when the 

appeal will be decided. 

(5) If the Office of the General Counsel 

concludes that an inquiry or request for 

access, amendment or correction, or an 

accounting should be granted, it will 

issue a decision granting the inquiry or 

request and instructing the Office of 

FOIA Services to comply with 

§ 200.304(b), § 200.306(c), or 

§ 200.307(c), as applicable. 

(6) If the Office of the General Counsel 

affirms the initial decision denying an 

inquiry or request for access or an 

accounting, it will issue a decision 

denying the inquiry or request and 

advising the requester of: 

(i) The reasons for the denial; and 

(ii) The requester’s right to obtain 

judicial review of the decision pursuant 

to 5 U.S.C. 552a(g)(1)(B) or (g)(1)(D), as 

applicable. 

(7) If the Office of the General Counsel 

determines that the decision of the 

Office of FOIA Services denying a 

request for amendment or correction 

should be upheld, it will issue a 

decision denying the request and the 

individual will be advised of: 

(i) The decision refusing to amend or 

correct the record and the reasons 

therefor; 

(ii) The requester’s right to file a 

concise statement setting forth his or her 

disagreement with the decision not to 

amend or correct the record; 

(iii) The procedures for filing such a 

statement of disagreement; 

(iv) The fact that any such statement 

of disagreement will be made available 

to anyone to whom the record is 

disclosed, together with, if the Office of 

the General Counsel deems it 

appropriate, a brief statement setting 

forth the Office of the General Counsel’s 

reasons for refusing to amend or correct; 

(v) The fact that prior recipients of the 

record in issue will be provided with 

the statement of disagreement and the 

Office of the General Counsel’s 

statement, if any, to the extent that an 

accounting of such disclosures has been 

maintained pursuant to 5 U.S.C. 552a(c); 

and 

(vi) The requester’s right to seek 

judicial review of the Office of the 

General Counsel’s refusal to amend or 

correct, pursuant to 5 U.S.C. 

552a(g)(1)(A). 

(8) In appropriate cases the Office of 

the General Counsel may, in its sole 

discretion, refer matters requiring 

administrative review of initial 

decisions to the Commission for 

determination and the issuance, where 

indicated, of decisions. 

(b) Statements of disagreement. As 

noted in paragraph (a)(6)(ii) of this 

section, a requester may file a statement 

setting forth his or her disagreement 

with the Office of the General Counsel’s 

denial of the request for amendment or 

correction. 

(1) Such statement of disagreement 

may be submitted by email (foiapa@

sec.gov) or online at the Commission’s 

website at https://www.sec.gov/forms/ 

request_public_docs. A requester who is 

not able to submit a statement of 

disagreement by email or online may 

submit a request by mail to the 

Securities and Exchange Commission, 

Office of FOIA Services, 100 F Street 

NE, Washington, DC 20549 or other 

mailing address or facsimile number 

published on the Commission’s website 

at https://www.sec.gov/oso/help/foiacontact.html. A requester must submit a 

statement of disagreement within 30 

days after receipt of the Office of the 

General Counsel’s decision denying the 

request for amendment or correction. 

For good cause shown this period can 

be extended for a reasonable time. 

(2) Statements of disagreement should 

be concise and must clearly identify 

each part of any record that is disputed 

and state the basis for the requester’s 

disagreement. The Office of the General 

Counsel will return unduly lengthy or 

irrelevant materials to the individual for 

appropriate revisions before they 

become a permanent part of the 

requester’s record. Statements of 

disagreement will be placed in the 

system of records in which the disputed 

record is maintained. The disputed 

record will be marked to indicate that a 

statement of disagreement has been filed 

and where in the system of records it 

may be found. 

(3) If a requester has filed a statement 

of disagreement, the Office of FOIA 

Services will append a copy of it to the 

disputed record whenever the record is 

disclosed and may also append a 

concise statement of its reason(s) for 

denying the request for amendment or 

correction. 

(4) In appropriate cases, the Office of 

the General Counsel may, in its sole 

discretion, refer matters concerning 

statements of disagreement to the 

Commission for disposition. 

§ 200.309 Fees. 

(a) The only fee to be charged to a 

requester under this part is for the 

duplication of records to be disclosed to 

the requester. No fee will be charged or 

collected for: search, retrieval, or review 

of records; or duplication at the 

initiative of the Commission without a 

request from the requester. Fees for 

duplication will be charged at rates set 

forth on the FOIA web page of the 

Commission’s website at www.sec.gov. 

Fees for duplication include any costs 

incurred in making records available on 

electronic storage devices. 

(b) With regard to requests for 

amendment or correction, the 

Commission will provide the requester 

one copy of each record corrected or 

amended pursuant to his or her request 

without charge as evidence of the 

correction or amendment. 

(c) Whenever the Office of FOIA 

Services determines that good cause 

exists to grant a request for reduction or 

waiver of fees for duplication costs, it 

may reduce or waive any such fees. 

§ 200.310 Specific exemptions. 

(a) Pursuant to, and limited by 5 

U.S.C. 552a(k)(2), the following systems 

of records maintained by the 

Commission are exempt from 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), 

and (e)(4)(I), and (f), and §§ 200.303, 

200.305, and 200.307, insofar as they 

contain investigatory materials 

compiled for law enforcement purposes: 

(1) Enforcement Files; 

(2) Office of the General Counsel 

Working Files; 

(3) Office of the Chief Accountant 

Working Files; 

(4) Correspondence Response System; 

(5) Tips, Complaints, and Referrals 

(TCR) Records; and 

(6) SEC Security in the Workplace 

Incident Records. 

(b) Pursuant to 5 U.S.C. 552a(k)(5), the 

systems of records containing the 

Commission’s Disciplinary and Adverse 

Actions, Employee Conduct, and Labor 

Relations Files are exempt from 5 U.S.C. 

552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), 

(e)(4)(I), and (f), and §§ 200.303 through 

200.309, insofar as they contain 

investigatory material compiled to 

determine an individual’s suitability, 

eligibility, and qualifications for Federal 

civilian employment or access to 

classified information, but only to the 

extent that the disclosure of such 

material would reveal the identity of a 

source who furnished information to the 

Government under an express promise 

that the identity of the source would be 

held in confidence, or, prior to 

September 27, 1975, under an implied 


lotter on DSK11XQN23PROD with RULES1
Federal Register / Vol. 88, No. 185 / Tuesday, September 26, 2023 / Rules and Regulations 65815 

promise that the identity of the source 

would be held in confidence. 

§ 200.311 Inspector General exemptions. 

(a) Pursuant to, and limited by 5 

U.S.C. 552a(j)(2), the system of records 

maintained by the Office of Inspector 

General of the Commission that contains 

investigative files is exempt from the 

provisions of 5 U.S.C. 552a, except 

sections (b), (c)(1) and (2), (e)(4)(A) 

through (F), (e)(6), (e)(7), (e)(9), (e)(10), 

and (e)(11), and (i), and §§ 200.303 

through 200.309, insofar as the system 

contains information pertaining to 

criminal law enforcement 

investigations. 

(b) Pursuant to, and limited by 5 

U.S.C. 552a(k)(2), the system of records 

maintained by the Office of Inspector 

General of the Commission that contains 

investigative files is exempt from 5 

U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(e)(4)(H), (e)(4)(I), and (f) and §§ 200.303 

through 200.309, insofar as it contains 

investigatory materials compiled for law 

enforcement purposes. 

§ 200.312 [Reserved] 

By the Commission. 

Dated: September 20, 2023. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2023–20690 Filed 9–25–23; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF HEALTH AND 

HUMAN SERVICES 

Food and Drug Administration 

21 CFR Part 1 

[Docket No. FDA–2014–N–0053] 

RIN 0910–AI44 

Requirements for Additional 

Traceability Records for Certain 

Foods; Technical Amendment 

AGENCY: Food and Drug Administration, 

HHS. 

ACTION: Final rule; technical 

amendment. 

SUMMARY: The Food and Drug 

Administration (FDA, the Agency, or 

we) is correcting the final rule on 

requirements for additional traceability 

records for certain foods that published 

in the Federal Register of November 21, 

2022. The final rule published with 

some editorial and inadvertent errors. 

This document corrects those errors. 

DATES: Effective September 26, 2023. 

FOR FURTHER INFORMATION CONTACT: 

Katherine Vierk, Center for Food Safety 

and Applied Nutrition, Food and Drug 

Administration, 5001 Campus Dr., 

College Park, MD 20740, 240–402–2122, 

Katherine.Vierk@fda.hhs.gov. 

SUPPLEMENTARY INFORMATION: In the 

Federal Register of November 21, 2022 

(87 FR 70910), FDA published the final 

rule ‘‘Requirements for Additional 

Traceability Records for Certain Foods’’ 

with some editorial and inadvertent 

errors in the preamble to the final rule 

and in the provisions added to the Code 

of Federal Regulations. We are taking 

this action to correct those errors and to 

improve the accuracy of the regulatory 

text. 

1. On page 70991, in Response 275, 

‘‘As noted in Response 450, we have 

deleted as unnecessary the use of ‘(s)’ 

(indicating pluralization of terms as 

applicable) from all provisions in which 

we had proposed to include it (except 

with respect to the definition of ‘retail 

food establishment,’ where we have 

retained it so that the definition is the 

same as in other FDA regulations)’’ is 

corrected to read ‘‘As noted in Response 

396, we have deleted as unnecessary the 

use of ‘(s)’ (indicating pluralization of 

terms as applicable) from all provisions 

in which we had proposed to include it 

(except with respect to the definition of 

‘retail food establishment,’ where we 

have retained it so that the definition is 

the same as in other FDA regulations).’’ 

2. On page 71001, in the second 

paragraph of Response 321, ‘‘KDEs for a 

CTE could be ‘linked’ in different ways, 

including by being listed together in 

single row of an electronic sortable 

spreadsheet, stored together as a record 

in a database, shared to a subsequent 

recipient as an electronic message, or 

printed on the same commercial 

document (e.g., BOL).’’ is corrected to 

read ‘‘KDEs for a CTE could be ‘linked’ 

in different ways, including by being 

listed together in a single row of an 

electronic sortable spreadsheet, stored 

together as a record in a database, 

shared to a subsequent recipient as an 

electronic message, or printed on the 

same commercial document (e.g., 

BOL).’’ 

3. On page 71033, in the second 

paragraph of Response 429, the 

following sentence is deleted: ‘‘If the 

apples are sliced before initial packing, 

then, as specified under § 1.1350(b), the 

entity who transforms the whole apples 

into sliced apples would be required to 

keep the initial packing records 

specified under § 1.1330(a) or (c), and 

would not be required to keep 

transformation records under § 1.1350(a) 

(see Response 444 (434 (creation CTE 

requirements would not apply to the 

creation of an FTL food solely for the 

purpose of being transformed into 

another food in continuous 

processing)).’’ We are deleting this 

sentence because § 1.1350(b) does not 

apply to this situation. Section 1.1350(b) 

applies when a traceability lot is 

produced through ‘‘transformation of a 

raw agricultural commodity (other than 

a food obtained from a fishing vessel) on 

the Food Traceability List that was not 

initially packed prior to your 

transformation of the food’’ (emphasis 

added). The situation described in the 

second paragraph of Response 429 

relates to the transformation of a raw 

agricultural commodity that is not on 

the Food Traceability List (whole 

apples) into a food (sliced apples) that 

is on the Food Traceability List. Once 

this sentence is deleted, the remainder 

of the paragraph correctly explains 

which provisions apply to this situation. 

4. The exemption in § 1.1305(d)(4) is 

revised to contain new parenthetical 

language. We have added this 

parenthetical language to clarify that the 

partial exemption in § 1.1305(d)(6), 

when applicable, exempts a person who 

changes food such that it is no longer on 

the Food Traceability List from the 

requirement to maintain records 

containing the information specified in 

§ 1.1345 for their receipt of the food that 

they change. This parenthetical aligns 

with § 1.1305(d)(3)(i). 

List of Subjects in 21 CFR Part 1 

Cosmetics, Drugs, Exports, Food 

labeling, Imports, Labeling, Reporting 

and recordkeeping requirements. 

PART 1—GENERAL ENFORCEMENT 

REGULATIONS 

■ 1. The authority citation for part 1 

continues to read as follows: 

Authority: 15 U.S.C. 1333, 1453, 1454, 

1455, 4402; 19 U.S.C. 1490, 1491; 21 U.S.C. 

321, 331, 332, 333, 334, 335a, 342, 343, 350c, 

350d, 350j, 352, 355, 360b, 360ccc, 360ccc– 

1, 360ccc–2, 362, 371, 374, 381, 382, 384a, 

387, 387a, 387c, 393, and 2223; 42 U.S.C. 

216, 241, 243, 262, 264, 271. 

■ 2. In § 1.1305, revise paragraph (d)(4) 

to read as follows: 

§ 1.1305 What foods and persons are 

exempt from this subpart? 

* * * * * 

(d) * * * 

(4) Food that you change such that the 

food is no longer on the Food 

Traceability List, provided that you 

maintain records containing the 

information specified in § 1.1345 for 

your receipt of the food you change 

(unless you have entered into a written 

agreement concerning your changing of 

the food such that the food is no longer 


lotter on DSK11XQN23PROD with RULES1