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McKinley v CFTC SEC Documents From MF Global SEC Compelled to Disclose (Lawsuit #5)

McKinley v CFTC SEC Documents From MF Global SEC Compelled to Disclose (Lawsuit #5)

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Published by Vern McKinley
3 Oct 2012 release of MF Global documents by the SEC
3 Oct 2012 release of MF Global documents by the SEC

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Published by: Vern McKinley on Oct 04, 2012
Copyright:Attribution Non-commercial

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05/01/2013

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE100 F STREET, NEWASHINGTON, DC 20549-2736Office of FOIA Services
 
October 3, 2012Mr. Vern McKinley20745 Ashburn Station PlaceAshburn, VA 20147Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552Request No. 12-06708-FOIADear Mr. McKinley:This is our final response to your request, dated andreceived in this office on April 24, 2012, for recordsconcerning the October 31, 2011, Financial StabilityOversight Council meeting to discuss developments regardingMF Global. Please be advised that we inadvertently assignedtwo FOIA control numbers to your request: 12-06708-FOIA and12-06852-FOIA. The incorrect control number, 12-06852-FOIA,was canceled with final processing of your request beingcompleted under 12-06708-FOIA.In completing our records’ search, we located 14additional pages of responsive documents. After consultingwith SEC staff, we have determined to release the enclosedfive pages, with the exception of internal deliberations,which are exempt from release under Exemption 5, 5 U.S.C. §552(b)(5), 17 CFR § 200.80(b)(5), for the following reason.Internal deliberations are protected by thedeliberative process privilege embodied in Exemption 5.Three policy purposes have been held to constitute the basisfor this privilege: (1) to encourage open, frank discussionson matters of policy between subordinates and superiors; (2)to protect against premature disclosure of proposed policiesbefore adoption; and (3) to protect against public confusionthat might result from disclosure of reasons and rationalesthat were not ultimately the grounds for an agency’sdecision.
 
Mr. Vern McKinley 12-06708-FOIAOctober 3, 2012Page 2In addition, we have determined to withhold nine pagesof records that may be responsive to your request, underExemptions 5 and 8, 5 U.S.C. § 552(b)(5) and (8), 17 CFR §200.80(b)(5) and (8). Under Exemption 5, these records areprotected by the deliberative process privilege mentionedabove. Exemption 8 protects from disclosure recordscontained in or related to examination, operating, orcondition reports prepared by, on behalf of, or for the useof an agency responsible for the regulation or supervisionof financial institutions.
 
Moreover, in our interim response letter of May 31,2012, we withheld a 2-page document asserting FOIAExemptions 4 and 5. Upon further review, we have determinedto invoke Exemptions 5 and 8 in withholding the 2-pagedocument. Under Exemption 5, these records are protected bythe deliberative process privilege mentioned above.Exemption 4 does not apply to the document.I am the deciding official with regard to this adversedetermination. You have the right to appeal our decision toour General Counsel under 5 U.S.C. § 552(a)(6), 17 CFR §200.80(d)(5) and (6). Your appeal must be in writing,clearly marked "Freedom of Information Act Appeal," andshould identify the requested records.Send your appeal to the Office of FOIA Services of theSecurities and Exchange SEC located at Station Place, 100 FStreet NE, Mail Stop 2736, Washington, D.C. 20549, or deliverit to Room 1120 at that address. Also, send a copy to theSEC Office of the General Counsel, Mail Stop 9612, ordeliver it to Room 1120 at the Station Place address.If you have any questions, please contact Alysia Morrowof my staff atmorrowa@sec.govor (202) 551-8376. You mayalso contact me atfoiapa@sec.govor (202) 551-7900.Sincerely,Jeffery OvallFOIA Branch ChiefEnclosure

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