This appeal challenged the response of 22-02530-FOIA. The response stated the request was not seeking records and FOIA was not an appropriate venue for questions.
The appeal response partially agreed with the FOIA office, but did provide some information.
Highlight:
In considering your appeal, I have determined that two parts of your request properly seek SEC records: (1) your request for a “count or count estimates of shares of GameStop held by retail investors;” and (2) your request for “a list of broker-dealers responsible for the transactions that have failed to deliver.” Based on searches conducted by various offices within the SEC, I have determined that there are no SEC records reflecting a “count or count estimates of shares of GameStop held by retail investors.” With regard to second part, although the SEC does not maintain a specific “list of broker-dealers responsible for the transactions that have failed to deliver,” the FOIA Office directed you to a link on the SEC’s website that contains information on fails to deliver in securities data.