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PUBLIC INVESTORS ARBITRATION BAR v. S.E.C.

No. 13-5137.

771 F.3d 1 (2014)

PUBLIC INVESTORS ARBITRATION BAR ASSOCIATION, Appellant, v. SECURITIES AND EXCHANGE COMMISSION, Appellee.

United States Court of Appeals, District of Columbia Circuit.

Decided November 14, 2014.

Attorney(s) appearing for the Case

Julie A. Murray argued the cause for appellant. With her on the briefs was Daniel A. Ball.

Brian Wolfman was on the brief for amici curiae Citizens for Responsibility and Ethics in Washington, et al., in support of appellant.

Karen J. Shimp , Special Trial Counsel, U.S. Securities and Exchange Commission, argued the cause for appellee. With her on the brief were Melinda Hardy , Assistant General Counsel, and Sarah E. Hancur , Senior Counsel. Kathleen Cody , Senior Counsel, entered an appearance.

Concurring opinion filed by Circuit Judge BROWN.

TATEL, Circuit Judge:

Exemption 8 of the Freedom of Information Act protects from disclosure records "related to examination ... reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions." Congress has now clarified that the Securities and Exchange Commission is such an agency and — central to the issue before us — that the Financial Industry Regulatory Authority (FINRA), a...

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