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SECURITIES AND EXCHANGE COMMISSION

STATION PLACE 100 F STREET, NE WASHINGTON, DC 20549-2736

UNITED STATES

Office of FOIA Services

September 25, 2013

Ms. Anne Weismann CREW 1400 Eye Street, N.W. Suite 450 Washington, DC 20005 Re: Freedom of Information Act (FOIA), 5 U.S.C. 552 Request No. 11-11116-FOIA

Dear Ms. Weismann: This letter is our final response to your request dated September 14, 2011, and received in this office on September 20, 2011, for all records explaining or describing in any way the SECs reasons for not proceeding with any closed preliminary investigations, including but not limited to Matters Under Inquiry (MUI), of: Bernard L. Madoff; Goldman Sachs trading in AIG credit default swaps in 2009; financial fraud at Wells Fargo and Bank of America in 2007 and 2008; and insider trading at Deutsche Bank, Lehman Brothers, and SAC Capital. You also requested a fee waiver and expedited processing. 1 By letter dated October 19, 2011, we advised you that your request was overly broad and burdensome, and as such, it would require placement in our First-In, First-Out (FIFO) complex queue. We also informed you that we would be willing to work with you to re-define or narrow the scope of your request in order to facilitate its processing, and possibly avoid placement in our complex queue. Several telephone conversations regarding the scope of your request took place over the next week as we worked with you to fine-tune your request. In an email dated
By letter dated October 26, 2011, we formally granted your request for a fee waiver, and advised you that your request for expedited processing was still under review because of the potential that your request would require placement in our complex queue.
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Ms. Anne Weismann September 25, 2013 Page Two

11-11116-FOIA

October 25, 2011, we documented what we understood the scope modifications to be based on our discussions. On that same day your colleague, Mr. Adam Rappaport, responded to our email confirming that CREW agreed to narrow the scope of its request to a search of the 250 most recent closed MUIs (before August 1, 2010), to include a list of all closed preliminary investigations concerning the 7 specific entities named in the request. In addition, your request was also amended to include a copy of the SECs Office of Inspector General report related to destruction of records. Access is granted to the requested Inspector General report, which is identified as Case No. OIG-567. This report has been made publicly available on the SECs website located at www.sec.gov, under our frequently requested FOIA documents. For your convenience, I am providing the web link to the report: http://www.sec.gov/foia/docs/oig-567.pdf. With respect to the remainder of your request, we consulted with other SEC staff and conducted a thorough search of the SECs various systems of records, but did not locate or identify any additional information responsive to your request. If you still have reason to believe that the SEC maintains the type of information you seek, please provide us with additional information, which could prompt another search. Otherwise, we conclude that no additional responsive information exists and we consider this request to be closed. You have the right to appeal the adequacy of our search and/or finding of no additional responsive information to our 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," and should identify the requested records. The appeal may include facts and authorities you consider appropriate.

Ms. Anne Weismann September 25, 2013 Page Three

11-11116-FOIA

Send your appeal to the Office of FOIA Services of the Securities and Exchange Commission located at Station Place, 100 F Street NE, Mail Stop 2736, Washington, D.C. 20549, or deliver it to Room 1120 at that address. Also, send a copy to the SEC Office of the General Counsel, Mail Stop 9612, or deliver it to Room 1120 at the Station Place address. We apologize for the long delay in processing your request, and we appreciate your patience throughout this process. If you have any questions, please contact Jason Luetkenhaus of my staff at luetkenhausj@sec.gov or (202) 551-8352. You may also contact me at foiapa@sec.gov or (202) 551-7900. Sincerely,

Ray J. McInerney FOIA Branch Chief

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