diff --git a/R31.md b/R31.md new file mode 100644 index 0000000..8ae9897 --- /dev/null +++ b/R31.md @@ -0,0 +1,53 @@ +Freedom of Information Act Request + +U.S. Securities and Exchange Commission +Office of FOIA Services + + + +email to foiapa@sec.gov + +ALL + + + + + +Re: Form R31 Part II QSR and Ex-Clearing Transaction Data + +Dear FOIA Officer: + +Pursuant to the Freedom of Information Act, 5 U.S.C. § 552, I request records concerning Form R31 filings submitted under Section 31 of the Securities Exchange Act of 1934 and Rule 31 thereunder. + +Please provide all completed Form R31 submissions filed by covered national securities exchanges for the period [START DATE] through [END DATE], including any amended, corrected, or supplemental submissions. + +I am particularly requesting the following fields from each Form R31 submission: + +1. Covered SRO name; +2. Month and year for which the Form R31 was filed; +3. Date filed; +4. Part II, Question 8: aggregate dollar amount of covered sales captured in the exchange’s trade reporting system and reported to a designated clearing agency by a qualified special representative, including any A/B split values; +5. Part II, Question 9: aggregate dollar amount of covered sales captured in the exchange’s trade reporting system and reported as ex-clearing transactions, including any A/B split values; +6. Any official-use fields, notes, corrections, amendments, or reconciliation records associated with those Part II values. + +If producing all completed Form R31 filings would be burdensome, please treat this request in the alternative as a request for a structured export, spreadsheet, database report, or other tabulation showing the monthly values reported by covered exchanges for Form R31 Part II, Questions 8 and 9, together with the identifying metadata listed above. + +Please search records maintained by the Office of Economic Analysis, the Division of Trading and Markets, and any SEC office, database, billing system, or records repository used to receive, process, calculate, review, reconcile, or bill Section 31 fees based on Form R31 submissions. + +Please produce the records in electronic, machine-readable format where available, preferably CSV, Excel, or native database export. For paper-only Form R31 filings, please provide scanned PDFs. If the same data exists both in scanned forms and in a structured SEC system, please produce both or provide the structured version together with enough metadata to identify the source filings. + +Form R31 states that “No assurance of confidentiality is given by the Commission with respect to the responses made in Form R31” and that “The public has access to the information contained in Form R31.” Accordingly, I request that the SEC process these records as public Form R31 records and not withhold the aggregate reported values absent a specific statutory basis. + +If any portion of the requested records is withheld, please provide all reasonably segregable non-exempt portions, including the SRO name, month, filing date, and aggregate dollar amounts where possible. Please identify the FOIA exemption claimed for each withheld portion and provide an index or explanation sufficient to permit administrative appeal. + +I request a waiver of search, review, and duplication fees because disclosure of these records is in the public interest. The requested records concern the administration of Section 31 transaction fees, public market-structure reporting, and the extent to which covered exchange sales were reported through QSR or ex-clearing channels rather than ordinary exchange-to-clearing-agency reporting. Disclosure is likely to contribute significantly to public understanding of SEC fee collection and market-structure oversight. + +If the fee waiver is denied, please notify me before incurring fees over $100. + +Please contact me if narrowing the date range, covered exchanges, or production format would speed processing without excluding the Part II Question 8 and Question 9 data requested above. + +Sincerely, + +[NAME] +[EMAIL] +[PHONE OR MAILING ADDRESS, IF DESIRED]