Commission Regulation 145.9, 17 CFR 145.9, provides a procedure by which persons submitting information may request that it be withheld when requested under the Freedom of Information Act (FOIA), 5 U.S.C. § 552. Under Regulation 145.9, the submitter of information may request in writing that the Commission afford confidential treatment under FOIA to any information he or she submits to the Commission. The submitter’s request must be in writing, must be clearly marked “FOIA Request for Confidential Treatment” and must include the submitter’s name, address and telephone number. The request for confidential treatment should accompany the material for which confidential treatment is being sought, except as provided in the Regulation 145.9(d)(4).
The submitter must specify the grounds on which confidential treatment is being sought, but need not provide a detailed written justification of the request unless required to do so under Regulation 145.9(e). Confidential treatment may be requested only on the grounds that disclosure:
• i. Is specifically exempted by a statute that either requires that the matters be withheld from the public in such manner as to leave no discretion on the issue or establishes a particular criteria for withholding or refers to particular types of matters to be withheld.
• ii. Would reveal the submitter’s trade secrets or confidential commercial or financial information.
• iii. Would constitute a clearly unwarranted invasion of the submitter’s personal privacy.
• iv. Would reveal investigatory records compiled for law enforcement purposes whose disclosure would deprive the submitter of a right to a fair trial or an impartial adjudication.
• v. Would reveal investigatory records compiled for law enforcement purposes whose disclosure would constitute an unwarranted invasion of personal privacy of the submitter.
• vi. Would reveal investigatory records compiled for law enforcement purposes when disclosure would interfere with enforcement proceedings or disclose investigative techniques and procedures, provided that the claim may be made only by a designated contract market or registered futures association with regard to its own investigatory records.
CFTC FOIA Compliance Office
Three Lafayette Centre
1155 21st Street, NW
Washington, DC 20581
RCT’s can also be sent to: FOIAsubmissions@cftc.gov.
The RCT itself (as distinguished from the material that is the subject of the request) will be considered a public document. When a submitter deems it necessary to include in its RCT information for which it seeks confidential treatment, the submitter must place that information in an appendix to the RCT.
No determination with respect to any RCT will be made until the Commission receives a FOIA request for the material for which confidential treatment is being sought, except as provided in Regulation 145.9(d)(9).
To file a request for confidential treatment, you must review and carefully follow Regulation 145.9, 17 CFR 145.9. The information on this page includes only a few notable points. If a submitter fails to follow the procedures set forth in Regulation 145.9, Commission staff may summarily reject the submitter’s RCT with leave to the submitter to refile a proper petition.
Please contact the FOIA Office with any questions at 202-418-5105.