<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Securities and Exchange Commission</name>
<abbrev>
SEC
</abbrev>
<previouslyPublished>
<url>http://www.gpo.gov/fdsys/pkg/FR-2012-03/21/pdf/2012-6788.pdf </url>
<title> SEC-14, Administrative Audit System and SEC-48, SEC Employee’s Health and Fitness Program Records </title>
<date year="2012" month="3" day="21"/>
</previouslyPublished>



<previouslyPublished>
<url>http://www.gpo.gov/fdsys/pkg/FR-2012-10/31/pdf/2012-26724.pdf </url>
<title> SEC-24, Freedom of Information Act Requests; SEC-41, Child Care Subsidy Program; and SEC-66, Backup Care Employee and Family Records </title>
<date year="2012" month="10" day="31"/>
</previouslyPublished>


<previouslyPublished>
<url> http://www.gpo.gov/fdsys/pkg/FR-2013-07-12/pdf/2013-16681.pdf</url>
<title> SEC-24, Freedom of Information and Privacy Act Requests and SEC-66, Backup Care Employee and Family Records</title>
<date year="2013" month="7" day="12"/>
</previouslyPublished>
<section id="sec1" toc="yes">
<systemNumber>-1</systemNumber>
<subsection type="systemName">Registration Statements Filed Pursuant to Provisions of the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940--SEC
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Duplicate copies may be maintained in SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records include information on officers, directors, principal shareholders, and certain other persons having a relationship with or a transaction with a registrant.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records describe the individual’s relationship to a registrant and other relevant material business information about the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 79e, 77f, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p; and 80a-8.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By SEC staff in the processing of registration statements and periodic reports filed with the Commission under provisions of the Federal securities laws; may also be used to respond to inquiries from Members of Congress and the public concerning registrants and in preparing no-action letters.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State, or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local government authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local governmental authority in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>8. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>9. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form or microform.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to registration statement. Individual name access is available through the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are available through Public Reference Section. Records are maintained in central records office, which is locked at night. Building where records are maintained has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are transferred to the Federal Records Center periodically for storage. They are controlled by file number and disposed of in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f. Certain files that have been categorized as permanent are retired to the National Archives and Records Administration, after the designated storage period at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from registration statements that are filed with the Commission under the Securities Act of 1933, Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940.
</p></xhtmlContent></subsection></section>
<section id="sec2" toc="yes">
<systemNumber>-2</systemNumber>
<subsection type="systemName">Applications for Registration or Exemption under the Investment Company Act of 1940.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>SEC, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Officers, directors, and other individuals related to investment companies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, date of birth, address, telephone numbers, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77f, 77g, 77h, 77j, 80a-6, and 80a-8.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To help the SEC staff process applications for registration or exemption, registration statements, and related forms under the Investment Company Act of 1940 and implement the Federal securities laws and rules.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), the SEC staff may provide these records to:
</p><p>(1) Any member of the general public upon request;
</p><p>(2) Any Federal, state, local, or foreign government authority or securities self-regulatory organization that is investigating a violation or potential violation of a statute, rule, regulation, or order;
</p><p>(3) Any Federal, state, local, or foreign bar association or similar licensing authority responsible for possible disciplinary action;
</p><p>(4) Any Federal, state, or local government or governmental authority that is deciding to hire or retain an individual, sign a contract, or issue a license, grant, or benefit;
</p><p>(5) Any individual or entity appointed by a court of competent jurisdiction or agreed upon by the parties to a pending court action or administrative proceeding alleging a violation of the Federal securities laws or rules; and
</p><p>(6) Any contractor that performs, on the SEC’s behalf, services requiring the use of these records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained on paper, microfilm, or magnetic tape and in a computer system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by the name of, or a file number assigned to, the registrant. Individual name access to these records is available through the SEC’s Name-Relationship Search Index.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Non-computer records are maintained in a central records facility that only authorized individuals may access. The facility is locked, with security cameras and a 24-hour security guard. Computer records, which are subject to data integrity controls, require passcodes for database access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are transferred to the Federal Records Center periodically for storage. They are controlled by file number and retained under 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests to determine whether this system of records contains a record pertaining to the requesting individual should be sent to the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to access or contest these records should contact the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Records Access Procedures, above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applications for registration or exemption and related forms filed with the SEC under the Investment Company Act of 1940.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="sec" toc="yes">
<systemNumber>-3</systemNumber>
<subsection type="systemName">Notification of Exemption from Registration under the Securities Act of 1933--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>These records are maintained in the Commission’s Regional and District Offices for the geographical areas covered by those offices. Duplicate copies also may be maintained in the headquarters office in Washington, DC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records include information on officeers, directors, principal shareholders, and certain other persons having a relationship with or a transaction with a registrant that has utilized one of the exemptions, such as Regulations A, B, E and Rule 146F under the Securities Act of 1933.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records describe the individual’s relationship to a registrant and other relevant material business information about the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, Section 77c(b).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information in the records may be used as follows:
</p><p>1. By SEC personnel in processing registration statements and periodic reports and other documents required to be filed with the Commission under provisions of the Federal securities laws; may also be used in responding to inquiries from Members of Congress or the public concerning a registrant and in preparing no-action letters.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute or rule, regulation or order issued pursuant thereto.
</p><p>3. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>4. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>5. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>6. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general request for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>7. In any proceeding where the federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>8. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee receiver, master special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the the Commission of the Federal securities laws of the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress. to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct. 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form and are stored on shelving. Records or portions of records may be maintained in machine readable form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to applicant. Individual name access is available through the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are available through Public Reference Section. Records are maintained in central records office, which is locked at night.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number. They are destroyed ten years after completion or termination of the offering, or by an order of the Commission that permanently suspends the exemption, whichever comes first, in accordance with the formal Records Control Schedule outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Documents and other information required to be filed under Regulations A, B, E, and F, and Rule 146 promulgated pursuant to provisions of the Securities Act of 1933.
</p></xhtmlContent></subsection></section>
<section id="sec4" toc="yes">
<systemNumber>-4</systemNumber>
<subsection type="systemName">Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records contain information on certain persons who own beneficially more than 5 percent of any equity security of a class specified in section 13(d)(1) of the Securities Exchange Act of 1934 and on persons making a tender offer to acquire more than 5 percent of such equity securities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records contain the initial information and changes regarding beneficial ownership of the equity securities of certain issuers, as well as information on tender offers. The records also contain other relevant material informations such as the individual beneficial owner’s name, citizenship, relationship to the issuer, role in transaction, and social security or tax identification number (when provided on a voluntary basis).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, Section 78m and 78n.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. By the SEC staff to verify information contained in other filings and in preparing no-action letters.
</p><p>2. To respond to requests from Members of Congress and the public concerning tender beneficial owners, offers, acquisitions or solicitations of securities.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a "routine use," to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>6. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>7. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>9. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>10 To prepare, on a periodic basis, for public inspection tabulations of beneficial ownership, classified variously by issuer, reporting persons, and in any other matter deemed necessary and appropriate. Tabulations of various types may also be prepared from time to time upon specific requests therefor.
</p><p>11. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form and on magnetic tape and cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Hard copy records are accessed by name and/or file number assigned to issuer. Computer tabulations derived from data contained in the hard copy records are accessed by issuer or by name of reporting individual; more specialized methods of accessing records may be developed upon request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are available through Public Reference Section. Records are maintained in central records office, to which access is limited to authorized personnel. That office is locked at night and the building where the records are maintained has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by the file number and maintained in-house at the Commission’s central records office for three years, then transferred to the Federal Records Center for storage. They are destroyed in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 299.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is from public reports that are required by statute to be filed with the Commission.
</p></xhtmlContent></subsection></section>
<section id="sec5" toc="yes">
<systemNumber>-5</systemNumber>
<subsection type="systemName">Ownership Reports and Insider Trading Transaction Records Filed under the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records contain information on individuals who are required by statute or rule to file reports concerning their beneficial ownership of certain securities and changes in that ownership.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records contain the initial information and changes regarding beneficial ownership of the securities of certain issuers. Such information includes the name of the reporting person, the insider control number assigned to him, the relationship of the reporting person to the issuer of the security, the social security number of the reporting person, the nature of the ownership, and financial transaction data with regard to the securities holdings of the reporting person.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 78p, 79q, 80a-9, 80a-10, 80a-16, 80a-17, and 80a-30.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. To prepare for publication on a monthly basis the Commission’s "Official Summary" of security transactions of insiders which is made available for purchase by the public.
</p><p>2. To prepare special reports which identify short-swing trading, late reporting, and ownership histories.
</p><p>3. To respond to requests by members of Congress and the public for information concerning insider trading with respect to particular issuers.
</p><p>4. By SEC personnel for use in processing filings and other documents filed with the Commission.
</p><p>5. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>6. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a rountine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>7. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State, or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>11. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>12. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form and on magnetic tape and cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to registrant. Individual name access may be gained in computer listing, through the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are made available to the public through the Official Summary, which is published monthly. Access to the underlying records is limited to authorized personnel. The records are kept in an office that is locked at night and in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number and maintained in-house at the Commission’s central record office for three years, then transferred to the Federal Records Center for storage. They are destroyed in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information for these records is extracted pursuant to the applicable sections of the various securities acts and regulations adopted pursuant thereto.
</p></xhtmlContent></subsection></section>
<section id="sec6" toc="yes">
<systemNumber>-6</systemNumber>
<subsection type="systemName">Periodic Reports Filed under the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940 and Investment Advisers Act of 1940.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records may also be maintained in SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records include information concerning officers, directors and certain shareholders of issuers required to file periodic reports with the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records describe lawsuits, shareholdings, business transactions, relationships to the issuer and other relevant material business information about the individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 78m, 79n, 80a-30, and 80b-4, and rules and regulations adopted by the Commission under the Securities Act of 1933, the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following purposes:
</p><p>1. By SEC staff in the processing of filings.
</p><p>2. Records may be used to respond to inquiries from Members of Congress and the public concerning an issuer; may also be used in preparing no-action letters.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>6. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information of other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>7. A record from this system of records may be disclosed to a Federal, State of local governmental authority, in response to its request, in connection with the hiring or retention of an investigation of an employee, the issuance of a security clearance, the reporting of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>9. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>10. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form or microform.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to registrant. No individual name access is provided, although the Commission’s Name-Relationship Index system cross-indexes the names of individuals with registrants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are available through the Public Reference Section. Records are maintained in central records office, which is locked at night and the building where the records are maintained has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are transferred to the Federal Records Center periodically for storage. They are controlled by file number and disposed of in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f. Certain files that have been categorized as permanent are retired to the National Archives and Records Administration, after the designated storage period at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Periodic reports filed by registrants under the applicable Federal securities laws.
</p></xhtmlContent></subsection></section>
<section id="sec7" toc="yes">
<systemNumber>-7</systemNumber>
<subsection type="systemName">Proposed Sale of Securities Records Filed under the Securities Act of 1933-SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records also may be maintained in SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records contain information on persons for whose account securities are proposed to be sold pursuant to rules adopted by the Commission such as Rules 144, 236, 237 and 240 under the Securities Act of 1933.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records contain information about individuals who propose to sell a specific number of securities, and include information on the class of securities, the name of the issuer, the name of the seller, and the seller’s relationship to the issuer, the seller’s social security number or IRS tax number, and the date of the sale.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77c(b), 77d(1); 17 CFR 230.144; 17 CFR 230.236(c); 17 CFR 230.237(a); 17 CFR 230.240(h).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. To aid the Commission’s staff in reviewing documents filed with the Commission and for verification and recording of block sales of securities; may also be used to respond to inquiries by Members of Congress or the public concerning sales of securities and in preparing no-action letters.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information, or after pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local government authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>8. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>9. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and the those matter appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form and on magnetic tape and cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to the issuer. The magnetic media is accessed by special computer programs on a periodic basis. No individual name access is provided, although the Commission’s Name-Relationship Index system cross-indexes names with registrants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records contain public information and are available to the public at the Commission’s Public Reference Room. Access to the records is limited to authorized personnel. The records are maintained in an office which is locked at night in a building which has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are transferred to the Federal Records Center periodically for storage. They are controlled by file number and disposed of in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f. Certain files that have been categorized as permanent are retired to the National Archives and Records Administration, after the designated storage period at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Notices of proposed sale of securities filed under Rules 144, 236, 237, and 240 which have been promulgated under the Securities Act of 1933.
</p></xhtmlContent></subsection></section>
<section id="sec8" toc="yes">
<systemNumber>-8</systemNumber>
<subsection type="systemName">Proxy Soliciting Material Filed under the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Duplicate copies may be maintained in SEC Regional and Branch Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records include information on officers, directors and certain stockholders of an issuer and persons other than management who are required to file proxy soliciting material with the Commission in advance of its use.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records describe business relationships and transactions of director, lawsuits, investigations, affiliations with other companies, and other relevant personal and business information about the individual that is material to the use of the proxy soliciting materials.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, 78n, 791 and 80a-20.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By SEC personnel in connection with the processing of proxy statements and proxy soliciting materials; may also be used to respond to requests from Members of Congress and the public concerning proxy contests and the necessity for accurate proxy materials and in preparing no-action letters.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statue or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local government authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>8. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>9. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form or microform.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name and/or file number assigned to registrant. No individual name access is provided, although the Commission’s Name-Relationship Index system cross-indexes individuals with registrants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records contain public information and are available through Public Reference Section. The records are maintained in central records office, which is locked at night and the building where the records are maintained has a 24-hour securities guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procdedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from proxy soliciting material filed with the Commission under the Federal securities laws.
</p></xhtmlContent></subsection></section>
<section id="sec9" toc="yes">
<systemNumber>-9</systemNumber>
<subsection type="systemName">Correspondence Files Pertaining to Registered Broker-Dealers--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records also are maintained in the SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are registered with the Commission as broker-dealers and persons associated with a registered broker-dealer.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information relating to an individual’s activities and transactions as a registered broker-dealer and information concerning the relationship of other persons to the broker-dealer.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 78a et seq.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. These records are used to maintain a continuity within the SEC as to each registered broker-dealer and to provide the SEC staff with the background and results of earlier examinations of registered broker-dealers as well as an insight into current regulatory problems, if any, concerning each registrant.
</p><p>2. To aid in responding to requests from Members of Congress and the public relating to particular registered broker-dealers.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>7. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities, Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in paper form and bound in file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is indexed by name of registrant. Information regarding individuals may be obtained through the use of index systems.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Records are maintained in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number and maintained in-house at the Commission’s central records office for three years, then transferred to the Federal Records Center for storage. They are destroyed in accordance with the Commission’s formal Records Control Officer outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>In addition to containing correspondence between the registered broker-dealer and the Commission, these files include copies of staff examination reports; information also is received from various segments in the industry and securities self-regulatory organizations.
</p></xhtmlContent></subsection></section>
<section id="sec10" toc="yes">
<systemNumber>-10</systemNumber>
<subsection type="systemName">Correspondence Files Pertaining to Registered Investment Advisers--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records also are maintained by the SEC’s Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Investment advisers registered with the Commission and persons associated with registered investment advisers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information relating to an investment adviser, his business, his compliance with provisions of the Federal securities laws. Records also include information on persons associated with investment advisers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 78d, 80b-1 et seq.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. By SEC personnel to determine whether a registered investment adviser is complying fully with applicable requirements.
</p><p>2. To aid in responding to requests from Members of Congress and the public concerning the status of a registered investment adviser.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one more of its members.
</p><p>7. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exhanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regularory or law enforcement agencies of a foreign government.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records of information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in paper form and bound in a file folder.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is indexed by name of the registrant. Information regarding individuals may be obtained through the Commission’s Name--Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Records are maintained in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number and maintained in-house at the Commission’s central records office for three years, then transferred to the Federal Records Center for storage. They are destroyed in accordance with the Commission’s formal Records Control Officer outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>In addition to containing correspondence between the investment adviser and the Commission, these files include copies of staff examination reports, information received from various segments of the industry, including the financial press and other items pertaining to each individual investment adviser or to any complex of investment companies with which it is affiliated.
</p></xhtmlContent></subsection></section>
<section id="sec11" toc="yes">
<systemNumber>-11</systemNumber>
<subsection type="systemName">Correspondence Files Pertaining to Registered Investment Companies--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records are also maintained by SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals associated with registered investment companies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information relating to an individual’s relationships and transactions with a registered investment company.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 78(b) and 80a-1 et seq.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. By SEC personnel to monitor compliance with the provisions of the Investment Company Act of 1940.
</p><p>2. To aid in responding to requests from Members of Congress and the public relating to particular registered investment companies.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>7. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to any agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in paper form and bound in a file folder.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is indexed by name of registrant. Information regarding individuals may be obtained through the use of index systems and the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Records are maintained in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number and maintained in-house at the Commission’s central records office for three years, then transferred to the Federal Records Center for storage. They are destroyed in accordance with the Commission’s formal Records Control Officer outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>In addition to containing correspondence between the registered investment company and the Commission, these files include copies of staff examination reports, information received from various segments of the industry, including the financial press and other items pertaining to each individual investment company or to the complex of investment companies with which it is affiliated.
</p></xhtmlContent></subsection></section>
<section id="sec12" toc="yes">
<systemNumber>-12</systemNumber>
<subsection type="systemName">Hearings, Proceedings and Studies--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Duplicate copies of these records may be maintained by SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons who testify, submit statements or otherwise participate in Commission hearings or proceedings such as the Commission Rate Hearings and hearings held in connection with the Institutional Investor Study.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include transcripts of testimony and documents filed by witnesses and others in such hearings or proceedings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, Section 77s, 77t(a), 77(u), 78s, 78u, 78v, 79s, 79t, 77sss, 77ttt, 77uuu, 80a-37, 80a-38, 80a-39, 80a-40, 80b-11 and 80b-12.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information in these records may be used as follows:
</p><p>1. To assist the Commission in developing regulatory and enforcement policies to carry out its functions under the Federal securities laws.
</p><p>2. To assist the Commission in preparing studies and analyses to be transmitted to the Congress and make public concerning matters within the Commission’s jurisdiction or matters that may be appropriately committed to the Commission’s jurisdiction.
</p><p>3. In connection with investigations by the Commission into possible violations of the Federal securities laws.
</p><p>4. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name access is provided through the SEC Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records generally are available for public inspection. They are kept in an office that is locked at night and in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are maintained in-house at the Commission’s central records office for three years, then transferred to the Federal Records Center for storage. They are destroyed after 25 years, in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Transcripts of hearings, documents, reports and other submissions made to the SEC.
</p></xhtmlContent></subsection></section>
<section id="sec13" toc="yes">
<systemNumber>-13</systemNumber>
<subsection type="systemName">No-action and Interpretative Letters--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons requesting interpretative advice from the Commission’s staff regarding statutes administered by the Commission, or requesting a statement that the Commission’s staff will not recommend any enforcement action based on the facts presented.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain interpretations of the Federal securities laws as they apply to a set of facts that have been presented by an individual or company. The facts given may describe the individual’s relationships with the company or his role in the transaction or give other details concerning individuals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Information is voluntarily submitted by the person requesting the no-action or interpretative letter.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By SEC personnel to process requests for no-action or interpretive positions.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>7. To respond to inquiries from Members of Congress and the public concerning the applicability of the Federal securities laws to particular situations.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p> Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 201.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 200.735-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained as part of the general files of the Commission in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name access is provided in cross-reference index maintained in the Classification Unit of the Office of Records.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>No-action and interpretative letters are generally made availabile to the public (See 17 CFR 200.81) and are available through the Commission’s Public Reference Section. Except for public disclosure, access to these records is limited to authorized individuals and the records are kept in a locked office in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are transferred to the Federal Reocrds Center periodically for storage. They are controlled by file number and disposed of in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 300.80f. Certain files that have been categorized as permanent are retired to the National Archives and Records Administration after the designated storage period at the Federal Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Communications sent to the Commission’s staff requesting interpretations or no-action position.
</p></xhtmlContent></subsection></section>
<section id="sec14" toc="yes">
<systemNumber>-14</systemNumber>
<subsection type="systemName">SEC Financial and Acquisition Management System
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission’s Regional Offices.
</p><p>2. Federal Aviation Administration, Mike Munroney Aeronautical Center, AMZ-740, 6500 S. MacArthur Blvd., Headquarters Bldg. 1, Oklahoma City, OK 73169.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC employees, contractors, vendors, interns, customers and members of the public.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee personnel information: Limited to SEC employees, and includes name, address, Social Security number (SSN); Business-related information: Limited to contractors/vendors and customers, and includes name of the company/agency, point of contact, telephone number, mailing address, email address, contract number, CAGE code, vendor number (system unique identifier), DUNS number, and TIN, which could be a SSN in the case of individuals set up as sole proprietors; and Financial information: Includes financial institution name, lockbox number, routing transit number, deposit account number, account type, debts (e.g., unpaid bills/invoices, overpayments, etc.), and remittance address.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C. 3501, et seq. and 31 U.S.C. 7701(c). Where the employee identification number is the social security number, collection of this information is authorized by Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Serves as the core financial system and integrates program, financial and budgetary information. Records are collected to ensure that all obligations and expenditures other than those in the pay and leave system are in conformance with laws, existing rules and regulations, and good business practice, and to maintain subsidiary records at the proper account and/or organizational level where responsibility for control of costs exists.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other federal, state, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>4. To a federal, state, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>5. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>6. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>7. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>8. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>9. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>10. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs.
</p><p>11. To the OMB in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular.
</p><p>12. To the Treasury, Government Accountability Office, or other appropriate agencies to provide appropriate audit documentation.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by a name of employee, social security number (SSN) for employees, SSN/Tax Identification Number (TIN) for vendors doing business with the SEC, Name for both employees and vendors, Vendor Number (system unique) for both employees and vendors, DUNS/DUNS + 4.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Financial Officer, Office of Financial Management, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-6041.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information maintained in Department of Transportation, (DOT)/Enterprise Service Center (ESC): Purchase orders, vouchers, invoices, contracts, and electronic records; Department of Interior (DOI)/Federal Personnel Payroll System (FPPS): Travel applications, disgorgement information, or other paper records submitted by employees, vendors, and other sources, including claims filed by witnesses in SEC actions; Delphi-Prism: FedTraveler, Department of the Interior (DOI) Payroll System, Bureau of Public Debt, and EDGAR Momentum.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="sec15" toc="yes">
<systemNumber>-15</systemNumber>
<subsection type="systemName">Payroll, Attendance, Retirement and Leave Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>1. Payroll files, retirement case files, time and attendance reports, and service history files: SEC, 100 F Street, NE., Washington, DC 20549;
</p><p>2. Notices of personnel action and other pay-related records: Department of the Interior, National Business Center, Payroll Operations Division, Mail Stop D-2662, 7301 West Mansfield Avenue, Lakewood, CO 80235-2230; and
</p><p>3. Retired personnel files: National Archives and Records Administration, National Personnel Records Center (Civilian Personnel Records Center), 111 Winnebago Street, St. Louis, MO 63118.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present employees, interns, fellows, volunteers and persons who work at the SEC under the Intergovernmental Personnel Act (employees).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include, but are not limited to: employee name, address, phone number, Social Security number, organization code, pay rate, salary, grade, length of service, pay and leave records, source documents for posting time and leave attendance, and deductions for Medicare, Old Age, Survivors, and Disability Insurance (OASDI, also known as Social Security), bonds, Federal Employee Group Life Insurance (FEGLI), union dues, taxes, allotments, quarters, retirement, charities, Federal and commercial health benefits, Flexible Spending Account, Long Term Care Insurance, Thrift Savings Plan contributions, award, shift schedules, and pay differential, tax lien data, wage garnishments. The payroll, retirement and leave records described in this notice form a part of the information contained in the Department of the Interior’s integrated Federal Personnel and Payroll System (FPPS). Personnel records contained in the FPPS are covered under the government-wide system of records notice published by the Office of Personnel Management (OPM/GOVT-1) and Commission’s system of records notice, SEC-39, Personnel Management Employment and Staffing Files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 302; 31 U.S.C. 3512.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The primary uses of the records are for the Commission’s fiscal operations for payroll, time and attendance, leave, insurance, tax, retirement, qualifications, and benefits; to prepare related reports to other Federal agencies including the Department of Treasury and the Office of Personnel Management; and to locate SEC employees and determine such matters as their period of service, type of leave, qualifications, benefits, and pay.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To the National Business Center of the U.S. Department of the Interior.
</p><p>2. To any Federal, state, or local government compiling tax withholding, retirement contributions, or allotments to charities, labor unions, wage garnishments, and other authorized recipients.
</p><p>3. To any Federal governmental authority or its agents investigating (a) a violation or potential violation of a statute, rule, regulation, or order, or (b) an employee’s grievance or complaint.
</p><p>4. To any member of the public for employment verification at an employee’s written request.
</p><p>5. To any judgment creditor for the purpose of wage garnishment.
</p><p>6. To any arbitrator under a negotiated labor agreement.
</p><p>7. To the General Accountability Office, the Office of Management and Budget, and other Federal agencies to support payments of salaries and benefits to SEC employees.
</p><p>8. To the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services, the Federal Parent Locator System and the Federal Tax Offset System to (a) Locate individuals, (b) identify income sources, (c) establish paternity, (d) verify social security numbers or employment, (e) issue, modify, or enforce orders of support, or (f) administer the Federal Earned Income Tax Credit Program.
</p><p>9. To a Congressional office in response to an inquiry from that Congressional office made at the request of the individual to whom the record pertains.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To interns, grantees, experts, contractors and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical or stenographic functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>12. When (a) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the Commission has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Commission or another agency or entity) that rely upon the compromised information; and (c) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the Commission’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>13. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases, on computer disc and/or other electronic media. Paper records are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records may be retrieved by identifiers including, but not limited to, individual’s name, an employee’s name or social security number, birthday, and organizational code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Paper records are maintained in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission shall be required to comply with the Privacy Act and applicable agency rules and regulations issued under the Act.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual should be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records should contact the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records source is from individuals on whom the records are maintained, official personnel records of individuals on whom the records are maintained, time and  attendance records, withholding certificates, third-party benefit providers, and other pay-related records prepared by the individual or the Office of Human Resources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec16" toc="yes">
<systemNumber>-16</systemNumber>
<subsection type="systemName">Administrative Law Judge Assignments and Dispositions of Administrative Proceedings--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on Administrative Law Judges.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records identify each pending administrative proceeding and the administrative law judge to whom it is assigned. They also contain statistical data relating to number of assignments and the time involved in disposition of assignments.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, section 78d; Pub. L. 87-592, 76 Stat. 394; 17 CFR 200.30-9. 200.30-10.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The records and the information in the records may be used as follows:
</p><p>1. To determine workload and accomplishment of each administrative law judge.
</p><p>2. To aid the Chief Administrative Law Judge in determining appropriate assignments to administrative proceedings.
</p><p>3. To aid in projecting budget requirements for the Office of Administrative Law Judges.
</p><p>4. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in file folders and are compiled in typewritten form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The system is indexed by the name of administrative law judge.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are stored in private office of the Chief Administrative Law Judge. Physical security is provided by a 24-hour security guard at the main entrance to the building.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained for at least a ten (10) year period, after which they are disposed of by shredding.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Administrative Law Judge, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is obtained from orders issued to individual administrative law judges by Chief Administrative Law Judge and from information and reports submitted to Chief Administrative Law Judge by individual administrative law judges.

</p></xhtmlContent></subsection></section>
<section id="sec17" toc="yes">
<systemNumber>-17</systemNumber>
<subsection type="systemName">Minutes Regarding Action Taken by the Commission-SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who are the subject of official action taken by the SEC, including individuals who are named defendants or respondents in civil actions or administrative proceedings brought by the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records are maintained on official matters that are considered by the SEC and action taken thereon. They describe the matter presented, any recommendations of the staff, and identify the Commissioners present and voting.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, section 78d(b)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information in the records may be sued as follows:
</p><p>1. In response to requests from Members of Congress, other Federal or State or local governmental authorities or securities self-regulatory organizations to indicate the official action of the Commission on a particular matter.
</p><p>2. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>3. They are distributed to senior supervisory personnel on the Commission’s staff for informational purposes.
</p><p>4. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained on magnetic cards and in a Bowne Word One System.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Minutes are kept in locked safe. Index cards are kept in locked card files and the building in which these records are located has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are maintained in-house for three years, then transferred to the Federal Records Center for storage in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f. After thirty years, they are permanently retired to the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are compiled at meetings of the Commission.
</p></xhtmlContent></subsection></section>
<section id="sec18" toc="yes">
<systemNumber>-18</systemNumber>
<subsection type="systemName">Applications for Relief From Disqualification Filed Under the Securities Act of 1933 and the Commission’s Rules of Practice.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Applications for relief from disqualification under Regulation A may be maintained by the SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The records contain information with respect to attorneys, accountants, and other professionals seeking relief from SEC orders suspending or barring them from appearing or practicing before the SEC or imposing some other sanction or requirements under the Commission’s rules of practice and information concerning officers, directors, principal shareholders, promoters, partners, underwriters, and other persons associated with the registrant who are seeking to vacate or modify any disqualification imposed by the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information pertaining to SEC orders which temporarily or permanently suspend attorneys, accountants, and other professionals from appearing or practicing before the SEC or otherwise sanction them pursuant to the Commission’s rules of practice. Also contain the individual’s application for relief of disqualification under the rules of practice and applications for relief from disqualifications under the Securities Act of 1933.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77c, 77s, 78w, 79t, 77sss, 80a-37, and 80b-11; 17 CFR 202.2(e); 17 CFR 230.252(f).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. By the Commission’s staff to process requests for relief from SEC orders or disqualification or disqualifications imposed by or from provisions of applicable Federal securities laws and rules promulgated thereunder.
</p><p>2. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>3. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>4. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form in individual files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by name of individual or issuer or registrant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Applications for relief from disability under Regulations A and F of the Securities Act of 1933 are made available to the public. Information regarding Rule 2(e) of the Commission’s rules of practice is non-public. Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. All records are kept in an office that is locked at night and in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are controlled by file number and maintained in-house, until final action on appeal is taken, then transferred to the Federal Records Center for storage. They are destroyed ten years after the date of the final action, in accordance with the Commission’s formal Records Control Schedule outlined at 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>1. Applications for relief of disqualifications under the Securities Act of 1933: Director, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549. 2. Applications for relief of disqualifications imposed under the Commission’s rules of practice: General Counsel, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information concerning individuals is extracted from applications filed with the Commission for relief from disqualifications.

</p></xhtmlContent></subsection></section>
<section id="sec19" toc="yes">
<systemNumber>-19</systemNumber>
<subsection type="systemName">Division of Corporation Finance and Support Office Working Files--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on officers, directors, shareholders, and other persons having relationships with registrants.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information in the system generally includes material concerning registrants filed with the SEC under the Securities Act of 1933 and the Securities Exchange Act of 1934 and may describe relationships or transactions named individuals may have with such registrants.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77e, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p; 77eee.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. To process registration statements, proxy statements, periodic reports and other reports required by statute or rule to be filed with the Commission.
</p><p>2. To aid in responding to inquiries from Members of Congress, the press and the public regarding registrants.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. In any proceeding where the federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>7. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice. 17 CFR 201.2(e).
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a federal, state or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system or records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.735-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in hard copy form and stored on shelving.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are indexed by the name of the registrant. The Commission’s Name-Relationship Index system, however, cross-indexes names of individuals with the names of registrants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to these files is limited to authorized persons. The records are maintained in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is obtained through informal meetings and conversations with registrants and their representatives; documents that are filed with the Commission; communications from other members of the Commission’s staff; publications; notes and letters from registrants, their counsel, and other interested persons, including shareholders, investors, and individuals including where practicable those to whom the information relates, and internal working papers prepared by members of the staff.

</p></xhtmlContent></subsection></section>
<section id="sec20" toc="yes">
<systemNumber>-20</systemNumber>
<subsection type="systemName">Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The categories of individuals on whom records are maintained in the system are (1) all persons filing a Schedule 13D, and (2) all persons filing as registrants under Regulations A or B.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The information in this system indicates whether individuals have filed a Schedule 13D and if so for what registrants. It also indicates whether or not such individuals have filed as registrants in offerings under Regulation A or B.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77c(b), 78m(d) and 78n(d).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By SEC personnel to maintain a control system over such public filings; to determine whether named persons have made such filings; and to verify information concerning such filings, as such information may be disclosed in other filings.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or other issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. In any proceeding where the Federal securities laws are in issue or in which the commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>To aid in responding to requests for information from Members of Congress, the press and the public concerning such filings and offerings.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained on index cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The record for schedule 13D is indexed alphabetically both by name of the bidder and the registrant. The Regulation A and B records are indexed by the name of the registrant. The SEC Name-Relationship Index system cross indexes the names of individuals with the names of registrants.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. The records are maintained in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is extracted from Schedule 13D filings and Regulation A and B filings, which are required by regulation to contain specified information concerning certain individuals.
</p></xhtmlContent></subsection></section>
<section id="sec21" toc="yes">
<systemNumber>-21</systemNumber>
<subsection type="systemName">Division of Investment Management Correspondence and Memoranda Files--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>The records concern individuals who have requested "no-action" or interpretive advice and general correspondence from investment advisers and persons associated with them or investment companies.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records contain interpretation of the Federal securities laws as they apply to a certain set of facts. Facts may describe the individual’s relationship to a company or his role in a transaction. Addresses of individuals are included in the records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Most of the information in the files was submitted voluntarily. To the extent that information was solicited, such solicitation was done in reliance upon the Commission’s general power to enforce the Investment Company Act, 15 U.S.C. 80a-41, the Investment Advisers Act, 15 U.S.C. 806-9, the Securities Exchange Act of 1934, 15 U.S.C. 78u, and the Securities Act of 1933, 15 U.S.C. 77s.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By the staff to aid in processing current requests for no-action or interpretative letters.
</p><p>2. To assist in processing registration statements and reports and other documents filed with the Commission under the Investment Company Act or the Investment Advisers Act.
</p><p>3. To respond to inquiries from Members of Congress, the press or the public concerning matters arising under the Investment Company Act and the Investment Advisers Act.
</p><p>4. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>5. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>6. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>7. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>11. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>12. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Index cards and paper copies of memoranda and items of correspondence are kept in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are indexed by name of registrant. Cross-indexing to individuals is available through the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. They are maintained in a building having 24-hour security guards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Division of Investment Management, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Personal information primarily is supplied by the individual. Some information may be supplied from other SEC personnel as a result of an investigation, litigation or documents filed by the individual or including information about the individual that are filed by an investment company or investment adviser.
</p></xhtmlContent></subsection></section>
<section id="sec22" toc="yes">
<systemNumber>-22</systemNumber>
<subsection type="systemName">Executive/Congressional Personnel Referrals--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on applicants for employment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain names of applicants, Members of Congress or other individuals who recommend specified individuals for employment and the basis for the recommendation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Records are unsolicited.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. To identify candidates for current and prospective job vacancies within the Commission.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in paper form in file folders and storage cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. Records are kept in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are kept for three years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from persons in the executive and legislative branches of the Federal government and in some cases persons in State governments.
</p></xhtmlContent></subsection></section>
<section id="sec23" toc="yes">
<systemNumber>-23</systemNumber>
<subsection type="systemName">Staff Time and Activity Tracking System (STATS)--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and current SEC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records are computerized and contain information about Commission employees including the employee’s name, employee identification number, hours worked during each week, compensation data, and work-activity classifications for each week.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Applicable sections in chapters 21 through 89 of Title 5 of the United States Code.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in the records be used:
</p><p>1. As a data source for management information for production of summary descriptive statistics and analytical studies reflecting the Commission’s allocations of cost and man-hours by budget activity. Reports generated by this system are used by the Commission and the staff to substantiate requests to Congress and others for personnel allocation and utilization; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>2. For any court litigation or administrative action involving review of personnel action.
</p><p>3. For responding to requests from Members of Congress or the Executive branch or other agencies for statistical information concerning manpower utilization and needs.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained in file folders and on magnetic media.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are indexed by the employee’s identification number and name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>File folders may be destroyed by the organizations compiling the information after three weeks. Magnetic media are maintained on a permanent basis. Tape and disk files on which data is stored are available only through the librarian or chief of operations of the Office of Information Technology. Back-up master files on tape are stored in the Federal Record Center in Suitland, Maryland.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Management Analyst, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop )-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The data sources are the weekly staff activity reporting forms submitted by the individual employees of the SEC. The Pay-Time-Leave System is accessed for the compensation information relating to the employee.
</p></xhtmlContent></subsection></section>
<section id="sec24" toc="yes">
<systemNumber>-24</systemNumber>
<subsection type="systemName">Freedom of Information and Privacy Act Requests.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Office of Freedom of Information Act (FOIA) Services, 100 F Street NE., Washington, DC 20549.
Other offices involved in the processing of requests may also maintain copies of the requests and related internal administrative
records.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons requesting information from the Commission pursuant to provisions of the Freedom of Information
Act; persons who are the subject of Freedom of Information Act requests; individuals who have submitted requests for information
about themselves or on behalf of an individual under the provisions of the Privacy Act of 1974; and individuals filing an
administrative appeal of a denial, in whole or part, of any such request.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records received, created or compiled in processing FOIA and PA requests or appeals, including internal memoranda, correspondence
to or from other Federal agencies, correspondence and response letters, appeal of denials under the FOIA, request for amendment of
records under the Privacy Act, appeal for denials under the Privacy Act, appeal determinations, and electronic tracking data. These
records may contain personal information retrieved in response to a request including requesters’ and their attorneys’ or
representatives’ names, addresses, email, telephone numbers, and FOIA and PA case numbers; office telephone numbers of SEC employees
and contractors; Names, telephone numbers, and addresses of the submitter of the information requested; Unique case identifier;
Social security number; or other identifier assigned to the request or appeal.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 552, and 552a; Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used by Commission staff to process FOIA and Privacy Act requests and appeals, and to prepare reports to the
Department of Justice, the Office of Management and Budget, and other oversight entities on the Commission’s FOIA and PA activities.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records or information
contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the
compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other federal, state, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign
financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal
Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the
federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of
the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory
authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its
staff, is a party or otherwise involved in an official capacity.
</p><p>5. To a federal, state, local, tribal, foreign, or international agency in response to its request for information concerning the
hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the
letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the
information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>6. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection
with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further
information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the
inquiry.
</p><p>7. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of
a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the
efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by
reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements
of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>8. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the
Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>9. To respond to subpoenas in any litigation or other proceeding.
</p><p>10. To a third party authorized in writing to receive such information by the individual about whom the information pertains.
</p><p>11. To another Federal agency to (a) permit a decision as to access, amendment or correction of records to be made in consultation
with or by that agency, (b) verify the identity of an individual or the accuracy of information submitted by an individual who has
requested access to or amendment or correction of records, or (c) to process payment of fees associated with FOIA/PA requests.
</p><p>12. To the Department of Justice (DOJ) in order to obtain that department’s advice on FOIA matters or regarding the agency’s FOIA
disclosure obligations.
</p><p>13. To the Office of Management and Budget for the purpose of obtaining its advice on Privacy Act matters.
</p><p>14. To the public pursuant to the provisions of the FOIA, 5 U.S.C. 552.
</p><p>15. To the National Archives and Records Administration, Office of Government Information Services (OGIS), to the extent necessary
to fulfill its responsibilities in 5 U.S.C. 552(h), to review administrative agency policies, procedures and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS’ offering of mediation services to resolve disputes between persons making
FOIA requests and administrative agencies.
</p><p>16. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or
conducting records management inspections.
</p><p>17. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of
the function for which the records are collected and maintained or for related personnel management functions or manpower studies;
may also be used to respond to general requests for statistical information (without personal identification of individuals) under
the Freedom of Information Act.
</p><p>18. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to
200.735-18, and who assists in the investigation by the Commission of possible violations of the federal securities laws (as
such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct
of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or
regulatory functions under the federal securities laws.
</p><p>19. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the
request of that individual.
</p><p>20. In connection with any litigation challenging or seeking to enjoin actions by the Commission under the Freedom of Information
Act, as amended.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer
disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic files and paper format records are indexed and retrieved by a unique case number assigned to the request. Records may
also be retrieved by the requestor name and/or the subject of the request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security
guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or
file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are
safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to
the Commission shall be required to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are maintained in accordance with general records schedules of the National Archives and Records Administration,
General Records Schedule 14.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>FOIA/PA Officer, Office of FOIA Services, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed
to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may
contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Persons requesting information from the Commission pursuant to the Freedom of Information Act and the Privacy Act; agency
employees assigned to handle processing the requests; agency records searched and identified as responsive in the process of
responding to such requests; other agencies or entities that have referred to SEC requests concerning SEC records, or that have
consulted with SEC regarding handling of particular requests; and submitters or subjects of records or information that have provided
assistance to SEC in making access or amendment determinations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec25" toc="yes">
<systemNumber>-25</systemNumber>
<subsection type="systemName">Office of Public Affairs, Policy Evaluation and Research Records--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records may be maintained by regional and branch offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on SEC Commissioners and other SEC officials, business and financial reporters and editors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include speeches by Commissioners and other Commission officials; telephone numbers and addresses of reporters and editors.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Information is given voluntarily to the Office of Public Affairs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. To contact members of the press when information of interest to their respective publications is made public.
</p><p>2. To respond to requests for copies of speeches given by SEC Commissioners.
</p><p>3. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The speeches are kept in a filing cabinet and the press list is kept in a card index box.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Speeches are indexed by name and date. The press list is indexed by name and publication.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Office of Public Affairs is locked after working hours. The building where the records are maintained has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are kept indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Office of Public Affairs, Policy Evaluation and Research, Securities and Exchange Commission, 450 Fiofth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is given voluntarily by reporters and editors and persons requesting copies of speeches.
</p></xhtmlContent></subsection></section>
<section id="sec27" toc="yes">
<systemNumber>-27</systemNumber>
<subsection type="systemName">Name-Relationship Search System (NRS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail, Stop O-4, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on principals and other individuals listed in filings by corporate issuers of securities; principals and other individuals listed in applications for registration and amendments thereto filed by broker-dealers, investment advisers, transfer agents (non-bank), municipal securities dealers (which are banks or separately identifiable departments or divisions of banks), clearing agencies (non-bank), and securities information processors; individuals who are required to file ownership reports as corporate insiders; individuals who are the subjects of matters under inquiry; individuals including defendants, respondents and witnesses, named in investigations and enforcement actions relating to securities violations; and individuals listed in filings by self-regulatory organizations regarding the entry or re-entry of statutorily disqualified persons into the securities business. Records are also maintained on persons who are the focus of general inquiries or complaints to the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records are computerized and contain index information that relates the names of the individual to the docketed name of the formal filing or the case name when an enforcement or litigation proceeding is involved. The records include the SEC file numbers, date, information on the relationship, the social security number of the individual (if available), disposition of cases (if available), and violations alleged (if any).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77e, 77f, 77j, 77g, and 77o; 78f, 78l, 78m, 78o, 78o-1, 78p, 78q-1, and 78u; 79c, 79f, 79g, 79r, and 79s; 77eee, 77mmm, 77nnn, 77ttt, and 77uuu; 80a-8, 80a-20, 80a-29, 80a-32; 80a-40; 80a-44, and 80a-45; 80b-3, 80b-4, 80b-12, and 80b-16.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be used as follows:
</p><p>1. By authorized SEC personnel in connection with their official functions including, but not limited to, the processing of documents filed with the Commission, the conduct of investigations into possible violations of the Federal securities laws, and other matters relating to the Commission’s regulatory and law enforcement functions.
</p><p>2. To conduct name searches upon the request of authorized individuals in other governmental agencies (Federal, State, local or foreign), or securities self-regulatory organizations for purposes of carrying out their designated functions.
</p><p>3. Where there is an indication of a violation or potential violations of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>5. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>6. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>7. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to any agency decision concerning the hiring or retention of any employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>8. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the firing or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>9. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>10. To aid in responding to inquiries from Members of Congress, the press and the public concerning matters that are within the Commission’s jurisdiction.
</p><p>11. In connection with the regulatory and enforcement responsibilities mandated by the Federal securities laws, or State or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the Federal Banking authorities, including but not limited to the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, State Securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>12. Records in this system may be disclosed as routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws or the Commission’s rules of practice, 17 CFR 201.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>13. Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>14. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>15. Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in Federal securities laws.
</p><p>16. Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>17. Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 200.735-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws, in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>18. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are maintained on magnetic disk and tape.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by the name of the individual or by certain Commission identification numbers. Access for inquiry purposes is via a computer terminal. NRS contains index data from several SEC data bases, and several systems of records separately published pursuant to the Privacy Act. However, the NRS system may be used to directly access the orginal data in these other data bases or systems of records.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to NRS must be authorized by the division or office head or by a member of the staff pursuant to delegated authority. Direct data access via computer terminals is restricted to certain authorized personnel.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>A record of search transactions is maintained on magnetic storage media. Computer tape and disk files, on which the data is stored, are available only through the librarian or chief of operations of the Office of Information Technology. Backup master files on tape are stored at a secured auxiliary SEC storage facility. Records are maintained indefinitely at this time.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Information Technology, Securities and Exchange Commission, Operations Center, 6432 General Green Way, mail Stop O-4, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, mailk Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The sources include filings made by issurers, broker-dealers, investment advisers, insiders, self-regulatory organizations, and others; documents relating to matters under inquiry; and enforcement actions. The enforcement documents are comprised of SEC opinions and orders, recommendations from SEC enforcement officials for institution of docketed investigations, court pleadings, and findings and orders issued by State and Federal courts, State securities boards, national securities exchanges, and self-regulatory organizations, and individuals, including the individual to whom the information relates. Information may also be received from other State, local or foreign law enforcement or regulatory organizations, as well as complaint letters received by the Commission.
</p></xhtmlContent></subsection></section>
<section id="sec28" toc="yes">
<systemNumber>-28</systemNumber>
<subsection type="systemName">Office of the Chief Accountant Working Files-SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Accountants and accounting firms.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records contain information pertaining to accounting practices, problems, and opinions and information concerning the activities of individual accountants in connection with whether they should be named in a Commission enforcement action or in a proceeding pursuant to the Commission’s rules of practice.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, Sections 77g, 78l(b), 17 CFR 200.22.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. To assist that Office in performing the functions assigned to it by the Commission (See 17 CFR 200.22) including the formulation of accounting policies to be applicable in the case of documents required to be filed with the Commission.
</p><p>2. To respond to inquiries from Members of Congress, the press and the public concerning accounting matters.
</p><p>3. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>4. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>7. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>9. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currenty, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 200.735-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>File index cards and file folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Alphabetically by individual, subject, and firm. Information with respect to individuals is available through the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are kept in locked filing cabinets and maintained in a building which has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Accountant, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information contained in the system is derived from official SEC records, letters and inquiries from the public, SEC staff memoranda, which may include information derived from investigations, litigation, and other submissions, and professional auditing and accounting literature and information received from individuals including where practicable those to whom the records relate.
</p></xhtmlContent></subsection></section>
<section id="sec29" toc="yes">
<systemNumber>-29</systemNumber>
<subsection type="systemName">Agency Correspondence Tracking System (ACTS)-SEC.
Subsystem A: Investor/Consumer Correspondence Files.
Subsystem B: Chairman Correspondence Files.
Subsystem C: Public Reference Branch Correspondence Files.
Subsystem D: ACTS Computerized Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records in this system are located at Headquarters, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549. Also, records covered by Subsystem A are received by and maintained in the Commission’s Regional and District Offices, whose addresses are listed below under System Manager(s) and Address(es).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subsystem A: Records are maintained on members of the public and others who submit inquiries or make complaints to the Commission, generally, or who address their correspondence to the Office of Investor Education and Assistance or the Commission’s Regional or District Offices.
</p><p>Subsystem B: Records are maintained on members of the public, members of Congress or their staff, and others who address their inquiries or complaints to the Commission’s Chairman.
</p><p>Subsystem C: Records are maintained on members of the public who submit requests for copies of, or review of records accessible through the Commission’s Public Reference Branch.
</p><p>Subsystem D: Computerized records are comprised of data collected in all of the above subsystems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both electronic and paper records in this system/subsystems contain the name of the complainant/inquirer/requester or their representative, the name of the entity and/or subject of the complaint/inquiry/request, the date relating to the disposition of the complaint/inquiry/request and, where applicable, the type of complaint/inquiry/request and other information derived from or relating to the complaint/inquiry/request. Paper records may include, but are not limited to letters of complaint/inquiry/request, responses, and related documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 78ll(d), 79t, 80a-37, and 80b-11.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records will be used by the staff to track and process complaints/inquiries/requests from members of the public and others.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>
</p><p>These records and the information contained in these records may be used as follows:
</p><p>(1) To respond to inquiries from individuals who have submitted complaints/inquiries/requests, or from their representatives, concerning the status of the particular complaint/inquiry/request;
</p><p>(2) To provide information to entities against whom complaints/inquiries are directed when Commission staff requests them to research the issues raised and report back to the staff;
</p><p>(3) To respond to inquiries from the White House, Congressional committees, the General Accounting Office, General Services Administration or the National Archives and Records Administration, or others charged with monitoring the work of the Commission or conducting records management inspections under authority of 44 U.S.C. 2904 and 2906;
</p><p>(4) To provide information to other Federal or State government agencies, or securities self-regulatory organizations which have more direct jurisdiction over the subject matter of the complaint/inquiry/request;
</p><p>(5) To coordinate with or assist in law enforcement and regulatory activities of the Commission and other Federal, State, local, or foreign law enforcement or regulatory agencies, securities self-regulatory organizations, and foreign securities authorities;
</p><p>(6) To respond to a subpoena, court order, or request for discovery, in connection with any relevant litigation or proceeding where the Federal securities laws are at issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity; and
</p><p>(7) To provide information to a Federal, State, local, or foreign government or foreign securities authority, in response to its request, in connection with civil, criminal, or other enforcement information, the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Subsystems A, B, and C: These records are maintained in hard copy form by assigned file number, and certain elements of the data are extracted and tracked in computerized form through ACTS. The computerized records can be accessed by the individual’s name or other indexed criteria.
</p><p>Subsystem D: These records are maintained in an on-line database and on data cartridges.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By use of the computerized records in Subsystem D, the paper files in Subsystems A, B, and C are retrievable by the name of the complainant/inquirer/requester, receipt date of the complaint/inquiry/request, name of the registered representative or associated person named in the complaint/inquiry/request, or the name of the entity/issuer that is the subject of the complaint/inquiry/request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. These records are maintained in office files in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Subsystem A: Paper records are retained in-house for two (2) years from the office’s date of receipt of the complaint/inquiry then transferred to the Federal Records Center for storage. Records sent to the Federal Records Center that do not relate to law enforcement matters are maintained for two (2) additional years (for a total of four (4) years from the office’s date of receipt). Paper records that do relate to an enforcement matter are maintained for an additional four (4) years at the Federal Records Center for a total of six (6) years from the office’s date of receipt.
</p><p>Subsystem B: Paper records are maintained in-house upon expiration of the Chairman’s tenure in office. In accordance with 17 CFR 200.80f, certain files are forwarded to the Federal Records Center or transferred to the National Archives and Records Administration.
</p><p>Subsystem C: Paper records are maintained in-house for six months from the office’s date of receipt and destroyed periodically thereafter.
</p><p>Subsystem D: A computerized record of searches and transactions is maintained in an on-line database and on data cartridges. Electronic records are maintained indefinitely. Database files are saved on the cartridges, which are sent to the Commission’s off-site storage vendor.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Subsystem A: Office of Investor Education and Assistance, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549;
</p><p>Assistant Regional Director, Northeast Regional Office, 7 World Trade Center, Suite 1300, New York, NY 10048; District Administrator, Boston District Office, 73 Tremont Street, Suite 600, Boston, MA 02108-3912; District Administrator, Philadelphia District Office, The Curtis Center, 601 Walnut Street, Suite 1005 East, Philadelphia, PA 19106-3322;
</p><p>Assistant Regional Director, Southeast Regional Office, 1401 Brickell Avenue, Suite 200, Miami, FL 33131; District Administrator, Atlanta District Office, 3475 Lenox Road, NE, Suite 1000, Atlanta, GA 30326-1232;
</p><p>Assistant Regional Director, Midwest Regional Office, Northwestern Atrium Center, 500 W. Madison Street, Suite 1400, Chicago, IL 60661-2511;
</p><p>Assistant Regional Administrator, Central Regional Office, 1801 California Street, Suite 4800, Denver, CO 80202-2648; District Administrator, Fort Worth District Office, 801 Cherry Street, Suite 1900, Fort Worth, TX 76102; District Administrator, Salt Lake District Office, 500 Key Bank Tower, 50 South Main Street, Salt Lake City, UT 84144-0402;
</p><p>Assistant Regional Administrator, Pacific Regional Office, 5670 Wilshire Boulevard, Suite 1100, Los Angeles, CA 90036-3648; and District Administrator, San Francisco District Office, 44 Montgomery Street, 11th Floor, San Francisco, CA 94103-1735.
</p><p>Subsystem B: Office of the Chairman, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p><p>Subsystem C: Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, Mail Stop A-1, 6432 General Green Way, Alexandria, VA 22312.
</p><p>Subsystem D: Office of Information Technology, Securities and Exchange Commission, Operations Center, Mail Stop O-4, 6432 General Green Way, Alexandria, VA 22312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information collected in all subsystems is received from individuals primarily through letters, telephone calls, or personal visits to the Commission’s offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec30" toc="yes">
<systemNumber>-30</systemNumber>
<subsection type="systemName">Office of General Counsel Work Files--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons who are subjects of SEC investigations, persons involved in litigation with the SEC persons involved in administrative proceedings, persons involved in litigation of interest to the SEC, persons communicating with the SEC, SEC personnel against whom complaints have been lodged by others.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information relevant to SEC investigations, court pleadings, documents, and orders filed in civil, administrative and criminal proceedings; letters detailing requests, complaints, and other topics of interest to the person writing; investigative material regarding allegations of possible staff misconduct; and other memoranda gathered and prepared by staff in performance of their duties.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, section 78d(b).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By the staff of the Office to render legal advice concerning SEC investigations and actions, to represent the SEC in all judicial proceedings in which the SEC is involved as a party or as amicus curiae, to keep the staff informed as to litigation which may be of interest to the SEC, to respond to communications made to the SEC, to investigate and make recommendations regarding complaints of misconduct by SEC employees, to render legal advice regarding SEC orders suspending an attorney, accountant or other professional from appearing or practicing before the SEC, to represent SEC personnel who are being sued, to prepare comments on pending legislation and to draft proposed legislation, to review articles, treatises, and speeches made by Commission personnel relating to the Commission or to statutes and rules administered by the Commission, to deal with problems arising under the various Federal statutes, to assist in any SEC matter where legal advice is needed.
</p><p>2. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charge with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>3. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>4. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>5. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>6. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a securities clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>7. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its requests, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of a employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organization, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 79u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities law or the Commission’s rules of practice.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are kept in paper form in file folders, binders and filing cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be accessed by relevant name, although there is not necessarily a method by which the name of a particular individual can be accessed.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The records are generally retained in the files of the attorney assigned to the particular matter. They are kept in a building that has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>General Counsel, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from administrative and court pleadings, transcripts, documents, and orders; SEC personnel; other SEC files; communications to the SEC; evidence gathered in connection with any matter within the jurisdiction of the SEC and from individuals, including where practicable, those to whom the records relate.
</p></xhtmlContent></subsection></section>
<section id="sec31" toc="yes">
<systemNumber>-31</systemNumber>
<subsection type="systemName">Office of General Counsel (Adjudication) Working Files-SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on individuals who were or are respondents in administrative proceedings instituted by the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include duplicate copies of documents formally filed and entered in administrative proceedings brought before the SEC and internal memoranda prepared by the staff of the Office of General Counsel in the Course of the decision making process in administrative proceedings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77u, 78v, 79s, 77ttt, 80a-39, and 80b-12.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information in the records may be used as follows:
</p><p>1. By SEC personnel to prepare opinions for the Commission in connection with pending reviews of administrative decisions.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. To respond to request from Members of Congress or the public regarding the status or result of an administrative proceeding.
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>9. In proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>10. In connection with proceedings by the Commission pursuant to Rules 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>11. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p><p>The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained in file folders which are stored in filing cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are indexed by case name. Individual information can be acquired through use of the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those individuals whose official duties require such access physical security is provided by a 24-hour security guard at the entrance to the building.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate General Counsel (Adjudication), Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in these records is supplied by the parties in the administrative proceeding before the SEC, their counsel, and administrative law judges.
</p></xhtmlContent></subsection></section>
<section id="sec32" toc="yes">
<systemNumber>-32</systemNumber>
<subsection type="systemName">Rule 102(e) of the Commission’s Rules of Practice--Appearanceg and Practice Before the Commission --SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records may also be maintained by the SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records contain information on attorneys, accountants and other professionals who appear and practice before the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain information such as court rulings, and rules in administrative proceedings and other materials compiled in the course of Commission investigation on individual professionals who appear and practice before the Commission.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77s, 78w, 79t, 77sss, 80a-37, 80b-11; 17 CFR 201.102(e).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By the Commission’s staff to determine whether to recommend to the Commission that action be instituted against an individual professional pursuant to the rules of practice.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued prsuant thereto.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>8. In proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>9. In connection with investigations or disciplinary proceedings, by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 201.100 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to be believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.735-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are accessed by individual name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure.
</p><p>Storage:</p>
<p>The records are stored on paper and on computer records. Records are retained in a locked file room in a building having 24-hour security guards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>1. Inquiries on Rule 102(e) matters concerning accountants: Director, Division of Enforcement, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p><p>2. Inquiries on Rule 102(e) matters concerning attorneys: General Counsel, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22313-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in the records is acquired from the individual, from court documents, the records, from an administrative proceeding, and from investigation material gathered by the SEC staff from various sources.
</p></xhtmlContent></subsection></section>
<section id="sec33" toc="yes">
<systemNumber>-33</systemNumber>
<subsection type="systemName">Administrative and Litigation Release System--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Records in this system also may be maintained at the SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons who have been named as respondents or defendants in administrative, civil or criminal proceedings involving allegations of violations of the Federal securities laws or related statutes.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Releases pertaining to administrative proceedings are limited essentially to an identification of the respondents, a brief reference to the general nature of the underlying charges, and when appropriate, an identification of the particular securities involved. Releases pertaining to litigation matters relate to court enforcement actions brought under the Federal securities laws.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, section 78d.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in them may be used for the following:
</p><p>1. Giving public notice of the institution and disposition of an administrative, civil, or criminal proceeding brought under the Federal securities laws or related statutes.
</p><p>2. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>3. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>4. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>5. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>6. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are kept in paper form in binders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the name of the individual through use of index cards, the Securities Violation Bulletin, and the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The releases are kept in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are kept indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Official files of Federal and State court and administrative proceedings.
</p></xhtmlContent></subsection></section>
<section id="sec34" toc="yes">
<systemNumber>-34</systemNumber>
<subsection type="systemName">Administrative Proceedings Record Cards--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons involved in administrative proceedings instituted by the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain names and addresses of persons who are parties, respondents, and witnesses in SEC administrative proceedings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77u, 78v, 79s, 80a-40, and 80b-12.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used for the following:
</p><p>1. To identify individuals who are involved in administrative proceedings so that they can be served with documents filed in the proceeding and to record all actions taken in the proceeding.
</p><p>2. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>3. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise in an official capacity.
</p><p>4. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organization involving one or more of its members.
</p><p>5. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>6. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>7. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>8. A record from this system of records may be disclosed as a "routine use" to a Federal, State, or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained on 5 x 8 inch cards and stored in filing boxes.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Individual name access for parties and witnesses provided through computer search of the Commission’s Name-Relationship Index system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. Records are kept in a locked office in a building having a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Administrative Proceedings service list, notices of appearance, transcripts of testimony.
</p></xhtmlContent></subsection></section>
<section id="sec35" toc="yes">
<systemNumber>-35</systemNumber>
<subsection type="systemName">Securities Violations Records and Bulletin--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549. Copies of the Securities Violations Bulletin are maintained by the SEC Regional and District Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons involved in actions for violations of foreign, Federal or State securities laws or the rules of securities self-regulatory organizations.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain any and all of the following information: An individual’s name, address, information from other governmental agencies concerning the individual, a biographical sketch, his business association, any charges, arrests, indictments, or convictions, and any court documents and orders in cases involving the individual. The Securities Violations Bulletin contains information pertaining to official actions traken by foreign, Federal and State courts and commissions and by self-regulatory organizations with respect to securities violations reported to the SEC within the preceding three months.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77s, 77t, 78u, 79r, 77uuu, 80a-41, and 80b-9.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. By SEC personnel to compile the Securities Violations Bulletin and supplements thereto, for distribution to authorized SEC personnel, other Federal agencies, State securities regulatory authorities, other Federal, State, local and foreign regulatory bodies with law enforcement functions, and nongovernmental consumer organizations.
</p><p>2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws.
</p><p>3. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>5. A record from this system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>6. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy form and on magnetic tape and cards.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>No individual name access is provided but the reports are in alphabetical sequence by name and can be accessed in that manner.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to and use of these records are limited to those persons whose official duties require such access. Personnel screening is employed to prevent unauthorized disclosure. Records are kept in a locked office in a building with a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Commission actions, State, Federal, local and foreign regulatory and enforcement agencies, and securities self-regulatory organizations.
</p></xhtmlContent></subsection></section>
<section id="sec36" toc="yes">
<systemNumber>-36</systemNumber>
<subsection type="systemName">Administrative Proceeding Files--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained with respect to persons who are respondents in administrative proceedings and other persons involved in administrative proceedings including witnesses and attorneys.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include orders for proceedings, answers, motions, responses, orders, offers of settlement and other pleadings, transcripts of all hearings and documents introduced as evidence therein, other relevant documents and correspondence relating to proceedings.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 15, United States Code, sections 77h(e), 78o-(b) and the Commission’s rules of practice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>1. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>2. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self-regulatory organizations involving one or more of its members.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>4. A record from the system of records may be disclosed as a "routine use" to a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issunace of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>5. A record from this system of records may be disclosed to a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>6. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State or local licensing authority for possible disciplinary action.
</p><p>7. In connection with proceedings by the Commission pursuant to Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
</p><p>8. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>9. To respond to inquiries from Members of Congress, the press and the public relating to pending or past administrative proceedings.
</p><p>In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.
</p><p>Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the Commission’s rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s rules of practice.
</p><p>Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>Records or information from records in this system may be included in reports published by the Commission pursuant to authority granted in the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
</p><p>Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions.
</p><p>Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)) in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in hard copy.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name of lead respondent cross-indexing to individual’s name is available through the SEC Name-Relationship Index System.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>In the case of public proceedings most of the records are available to the public. In other cases access is limited to authorized personnel who need access to perform their functions. Personnel screening is used to avoid unauthorized disclosures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records are retained indefinitely.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>These records are obtained from counsel involved in the administrative proceeding, internal Commission files, and from individuals including, where practicable, the individual as to whom the record pertains.
</p></xhtmlContent></subsection></section>
<section id="sec37" toc="yes">
<systemNumber>-37</systemNumber>
<subsection type="systemName">Automated Personnel Management Information System--SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC employees, past and present.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records consists of summaries of information received from the following category of records: (a) Applicant files (Standard Forms 171 and resumes, attorney supplements to applications, applicant correspondence and evaluations, and summer employment files); (b) official personnel folders (Office of Personnel Management files); (c) service record cards; (d) merit promotion posting files, including supervisory appraisals for jobs advertised under SEC Merit Promotion Program; (e) chronological copies of personnel actions (Standard Forms 50); (f) employee payroll number; (g) official position description; (h) SES submissions (correspondence with Office of Personnel Management requesting new supergrade allocations or changes with respect to existing ones); and (i) annual performance rating and position classification certification.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 CFR parts 213, 293, 302, and 335 and Office of Personnel Management Regulations promulgated thereunder.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>1. The records will be used by the SEC staff for (a) preparation of forms relating to official personnel actions; (b) computation of personnel strength of Commission divisions and offices; (c) certification of employment for credit checks or job applications; (d) recording of personnel actions processed; (e) preparation of reports and statistics on personnel activity; (f) location of personnel having specific skills and training; and (g) monitoring personnel actions concerning the staff (i.e., date of employee’s last promotion, employee’s position description number, etc.).
</p><p>2. Any record in this system or records may be used by the Commission in connection with any action or proceeding brought by an employee before another agency or a court of law to review personnel action taken by the Commission or the failure by the Commission to take action.
</p><p>3. Any record in this system may be used in any proceeding where the Federal securities laws are an issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>4. Any record in this system of records may be disclosed as a "routine use" to a Federal, State, or local governmental authority maintaining civil, criminal, or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant, or other benefit.
</p><p>5. Any record in this system of records may be disclosed to a Federal, State, or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>6. The records in this system of records may be used as a data source for management information, to enable the production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; they may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>7. Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appear to be relevant at the time to the subject matter of the inquiry.
</p><p>8. Disclosure may be made to a congressional office of information contained in the records relating to an individual in response to any inquiry from the congressional office made at the request of that individual.
</p><p>9. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The records are computerized and maintained on magnetic disk (current and historical records) and magnetic tape (historical records and backup).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is retrieved by name, employee identification code, or social security account number, via a generalized query capability.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Direct access via computer terminals is restricted to certain SEC staff on a need to know basis through use of special identification codes. Access via batch capability must be recommended by Division/Office Heads and authorized by the System Manager(s). Authorization forms will be maintained by the Office of Information Technology. Computer disk and tape files, on which the data is stored, are available only through the librarian or chief of operations of the Office of Information Technology. Computerized backup and historical files are stored at a secured auxiliary SEC storage facility. The building where the records are maintained has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Computerized files on current employees will be retained during the time the employee is employed by the Commission and after separation from the Commission.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Administrative and Personnel Management, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in category (a) are obtained from applicant concerned and interviewer evaluating the applicant. Records in categories (b), (d) and (e) are obtained from employee and supervisors concerned. Records in category (c) are obtained from official personnel folder of the employee concerned. Records in category (f) are assigned to the employee by the Commission and are obtained from the employee’s official personnel folder. Records in category (g) are obtained from interviews by position classifiers and/or management analysis staff of the Executive Director’s Office with employee and his/her supervisor(s) and administrative assistant. Records in category (h) are obtained from official personnel files, office classification files, interviews by position classifiers, and the employee concerned. Records in category (i) are obtained from annual performance rating files.
</p></xhtmlContent></subsection></section>
<section id="sec38" toc="yes">
<systemNumber>-38</systemNumber>
<subsection type="systemName">Disciplinary and Adverse Actions, Employee Conduct, and Labor Relations Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Office of Human Resources, 100 F Street NE., Washington, DC 20549-3990.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former SEC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes information in the following categories of records: (a) Disciplinary and adverse action cases, regulatory appeal files, grievances and complaints relating to an employee, union issues (including collective bargaining documents and dues withholding forms), leave bank/transfer date, and third party complaints; (b) Investigatory materials gathered in connection with the individual’s initial appointment to the agency as well as materials gathered in connection with investigations into allegations of employee misconduct.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302 &amp; 2951 and 17 CFR 200.735-13.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Assigned staff uses records to verify employee and agency compliance with law, regulation, case decisions, agency policies, and the Collective Bargaining Agreement.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. In any proceeding where the human resources law or regulations are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>4. To a Federal, State, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>5. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>6. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>7. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>8. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>9. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>10. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p> STORAGE:
</p><p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed and retrieved by employee name or assigned ID.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-3990.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Employees, managers, union officials.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled to determine an individual’s suitability, eligibility, and qualifications for Federal civilian employment or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence. This exemption is contained in 17 CFR 200.312(b)(1).
</p></xhtmlContent></subsection></section>
<section id="sec39" toc="yes">
<systemNumber>-39</systemNumber>
<subsection type="systemName">Personnel Management Employment and Staffing Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on applicants for SEC employment and present and past employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The system of records includes the following category of records:
</p><p>(a) Applicant files (Computerized applications, Standard Forms 171 and resumes, attorney supplements to applications, applicant correspondence and evaluations, and summer employment files);
</p><p>(b) Official personnel folders (Office of Human Resources files);
</p><p>(c) Service record cards;
</p><p>(d) Merit promotion posting files, including supervisory appraisals for jobs advertised under SEC Merit Promotion Program;
</p><p>(e) Request to Office of Personnel Management for Schedule C personnel actions;
</p><p>(f) Chronological copies of personnel actions (Standard Forms 50);
</p><p>(g) Office of Personnel Management clerk-typist and clerk-steno examination papers for applicants tested under SEC’s delegated recruiting authority;
</p><p>(h) Division/Office/Region employee record cards or electronic media; and
</p><p>(i) Regional Office employee files, including copies of applications and notifications of personnel action (Standard Forms 50) on the employee concerned.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 CFR, parts 213, 293, 302, and 335; 5 U.S.C. 3109 and Civil Service Regulations promulgated thereunder.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used or disclosed as follows:
</p><p>1. Records in category (a) above are used by SEC staff to make referrals to supervisors or administrative assistants in offices with vacancies for which applicants may be considered. Offices may retain copies of applications/resumes and evaluations of candidates they interview whom they feel may be contenders for employment offers later in the year.
</p><p>2. SEC staff uses records in category (b) above for (i) retention of official personnel documents; (ii) verification of employment; (iii) determination of qualifications for jobs and eligibility for training; and (iv) processing of personnel actions.
</p><p>3. SEC staff uses records in category (c) above for (i) computation of personnel strength of divisions/offices; (ii) verification of employment for credit checks or job applications; and (iii) recording of personnel actions processed.
</p><p>4. SEC staff uses records in category (d) above to maintain records required by the Office of Personnel Management of competitive promotion actions, including (i) records to determine how an announcement for a particular job reads; (ii) records for statistical reports; and (iii) records for program effectiveness studies (to send questionnaires to supervisors who made selections under the program, for example). Supervisory appraisals are scored and used in determining employee’s overall standing among all applicants for the job; they are sent to selecting supervisors for review if the employee is certified for consideration (interview).
</p><p>5. SEC staff uses records in category (e) above to identify Office of Personnel Management control numbers for Schedule C positions and to aid in preparing new submissions.
</p><p>6. SEC staff uses records in category (f) above for statistical reports.
</p><p>7. SEC staff forwards records in category (g) above to the Office of Personnel Management at the end of each month if the applicant is not hired; if applicant is hired, records are retained for one year and then destroyed.
</p><p>8. SEC staff uses records in category (h) above to monitor personnel actions concerning their staffs (i.e., date of employee’s last promotion, employee’s position description number, etc.) and to record date personnel action requests and reports were forwarded to the Office of Personnel.
</p><p>9. SEC Regional Offices use records in category (i) above as a reference in preparing personnel actions requests on employees, determining employee eligibility for training or career development counseling and for back-up data in preparing award nominations, etc.
</p><p>10. Any of the records described above may be used by the Commission in connection with any action or proceeding brought by an employee before another agency or a court of law to review personnel action taken by the Commission or the failure by the Commission to take action.
</p><p>11. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity.
</p><p>12. To a Federal, State or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.
</p><p>13. To a Federal, State or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>14. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>15. To aid in responding to inquiries from an employee, Member of Congress, the press or others concerning personnel action taken with respect to a specified employee or employees.
</p><p>16. Records in this system may, at the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of inquiry.
</p><p>17. To a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
</p><p>18. To the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular.
</p><p>19. To Commission contractors or their authorized employees, and other Federal agencies, as necessary, for the purpose of assisting the Commission in the efficient administration of its programs. These contractors will be required to maintain Privacy Act safeguards with respect to such records.
</p><p>20. The information contained in this system may be used by the Commission in connection with organizational directories or similar records for internal management purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic or paper form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records in categories (a)-(g) are pulled and re-filed by Office of Human Resources staff only and that Office is locked each evening. Access to official Personnel Folders is limited to employee concerned, his/her supervisors and administrative assistant, supervisors/administrative assistants considering him/her for a job or employee’s designated representative; access by other individuals on official business is on a need-to-know basis as approved by the Associate Executive Director, Office of Human Resources. Personnel folders are locked in the Diebold file each evening. Division/Office Directors and Regional Directors are responsible for keeping employee record cards, electronic media or employee files (Regional Offices only) under lock and for assuring confidentiality. The national office in Washington, DC has a 24-hour security guard.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in category (a) are retained six months and then destroyed. Records in category (b) are forwarded to Federal Records Center 30 days after the employee leaves the SEC by retirement, resignation or death or forwarded to agency to which employee transfers as soon as new agency requests them. Records in category (c) are retained indefinitely. Records in category (d) are retained two years and then destroyed. Records in category (e) are retained indefinitely. Records in category (f) are retained five years and then destroyed. Records in category (g) are sent to the Office of Personnel Management at the end of the month if the applicant is hired. If the applicant is not hired, records are retained one year and then destroyed. Records in category (h) are retained indefinitely. Records in category (i) are retained while employee is assigned to office and forwarded to new SEC office if he/she transfers or destroyed if employee leaves the SEC.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20579-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records in category (a) are obtained from applicant concerned and interviewer evaluating the applicant. Records in category (b) are obtained from employee and supervisors concerned. Records in category (c) are obtained from official personnel folder of the employee concerned. Records in category (d) are obtained from employees applying for job and their supervisors. Records in category (e) are obtained from employees and supervisors concerned. Records in category (f) are obtained from employees and supervisors concerned. Records in category (g) are obtained from applicant. Records in category (h) are obtained from official personnel actions, employees and supervisors concerned. Records in category (i) are obtained from official personnel actions, employees and supervisors concerned.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec40" toc="yes">
<systemNumber>-40</systemNumber>
<subsection type="systemName">Personnel Management Training Files-SEC.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on SEC employees, present and past.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both automated and paper records fall within the following categories: (a) Information on internal and external training provided to employees; (b) budget tracking information; (c) training sources used/considered; and (d) class rosters, notices, and certificates.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 1302, 2951, 3301, 3372, 4103, 4113, and 4118; and 5 CFR part 410.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used for statistical reports and employee career counseling, for determining whether mandatory training has been received, and for assessing whether the cost, quality, and appropriateness of courses and sources merit consideration for fulfilling future agency training needs.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and the information contained in these records may be used as follows:
</p><p>(1) To provide information to Government training facilities (Federal, State, or local) and to non-Government training facilities (private contractors of training courses or programs, private schools, etc.), their representatives, or volunteers working on a contract, service, grant, or cooperative agreement, for training purposes;
</p><p>(2) To respond to inquiries from the White House, Congressional committees, the General Accounting Office, General Services Administration or the National Archives and Records Administration, or others charged with monitoring the work of the Commission or conducting records management inspections under authority of 44 U.S.C. 2904 and 2906;
</p><p>(3) To respond to a subpoena, request for discovery, or the appearance of a witness, in connection with any relevant litigation or proceeding where the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity;
</p><p>(4) To provide information to a Federal, State, or local governmental entity or agency in response to its request, in connection with the potential violation of civil or criminal law or other regulation, the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter; and
</p><p>(5) To any source from which additional information is requested, when necessary to obtain information relevant to an agency decision to hire or retain an employee, issue a security clearance, conduct a security or suitability investigation of an individual, classify jobs, let a contract, or issue a license, grant, or other benefits.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic media is maintained in a database, paper records are kept in binders and folders.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable by employee name, social security number, organization, and the assigned training form number; vendor name; instructor name; category of training; date(s) of training; and course title and location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are available to authorized agency staff. Both paper and electronic media are kept in a secure facility with 24 hour security guard surveillance. Personnel access to the database records is restricted by passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained for three (3) fiscal years and destroyed after completion of any applicable reporting requirements by the Office of Personnel Management.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Administrative and Personnel Management, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>
</p><p>See Record Access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records that comprise the information in the system are provided by: The individual on whom the record is maintained; agency supervisors and/or administrative staff on employees being nominated for training; vendors or potential vendor sources for training; and other agency records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec41" toc="yes">
<systemNumber>-41</systemNumber>
<subsection type="systemName">Child Care Subsidy Program.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Childcare Subsidy Program Applications: Federal Employee Education and Assistance Fund (FEEA)--SEC Child Care Subsidy, 8441 W. Bowles Ave, Suite 200, Littleton, CO 80123-9501. Utilization reports and other related records: Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Present and former SEC employees and their children and child care providers.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain (1) employee’s name, social security number, telephone numbers, address, grade, gross annual salary, gross family income that was reported on the latest Federal income tax return, and number of dependent children; (2) employee’s child’s name, date of birth, social security number, weekly tuition cost, amount of child care tuition subsidy from state or local government; and (3) employee’s child care provider’s name, address, telephone number, tax identification number, and license number.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>40 U.S.C. 590(g); Executive Order 9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To determine eligibility for, and the amount of, the child care tuition subsidy for lower income SEC employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>3. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>4. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>5. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>6. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>7. To any Federal, state, or local government authority implementing child care subsidy programs or investigating a violation or potential violation of a statute, rule, regulation, or order.
</p><p>8. To the Office of Personnel Management to be used for evaluating the child care subsidy program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrieved by the employee name or social security number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission shall be required to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-3901
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applications for child care subsidy and supporting records, which are voluntarily submitted by employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec42" toc="yes">
<systemNumber>-42</systemNumber>
<subsection type="systemName">Enforcement Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission’s Regional Offices that conducted an investigation or litigation, or at a records management company under contract with the Commission. Closed investigatory files are stored at a Federal records center.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons who have been involved in Commission investigations or litigation, or in activities which violated or may have violated Federal, State or foreign laws relating to transactions in securities, the conduct of securities business or investment advisory activities, and banking or other financial activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records contain names and addresses of persons involved in Commission investigations or litigation. Also, correspondence relevant to the matter, internal staff memoranda, Commission Minutes and Commission Orders, copies of subpoenas issued in the course of the matter, affidavits, transcripts of testimony and exhibits thereto, copies of pleadings and exhibits in related private or governmental actions, documents and other evidence obtained in the course of the matter, computerized records, working papers of the staff and other documents and records relating to the matter, opening reports, progress reports and closing reports, and miscellaneous records relating to investigations or litigation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, and 80b-9. 17 CFR 202.5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are maintained for purposes of the Commission’s investigations and actions to enforce the Federal securities laws. Additionally, the information in the system is used in conjunction with the collection of amounts ordered to be paid in enforcement actions, a function that is a necessary component of litigation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the Federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the Federal securities laws.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, state accountancy board, or other Federal, State, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a Federal, State, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a Federal, State, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a)).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the Federal securities laws as provided in 15 U.S.C. 78c(a)(47), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To any governmental agency, governmental or private collection agent, consumer reporting agency or commercial reporting agency, governmental or private employer of a debtor, or any other person, for collection, including collection by administrative offset, Federal salary offset, tax refund offset, or administrative wage garnishment, of amounts owed as a result of Commission civil or administrative proceedings.
</p><p>Disclosure to consumer reporting agencies:
</p><p>When the Commission seeks to collect a debt arising from a civil action or administrative proceeding, it may disclose the following information to a consumer reporting agency: (i) information necessary to establish the identity of the debtor, including name, address and taxpayer identification number or social security number; (ii) the amount, status, and history of the debt; and (iii) the fact that the debt arose from a Commission action or proceeding to enforce the Federal securities laws.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p> STORAGE:
</p><p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrieved by the name under which the investigation is conducted or administrative or judicial litigation is filed. Access to information about an individual may be obtained through the Commission’s Name-Relationship Search Index system by the name of the individual. Information concerning an individual may also be obtained by reference to computer-based indices maintained by the Division of Enforcement.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Division of Enforcement, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-0801; Records Officer, Office of Records Management Services, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549; New York Regional Office, Regional Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022; Boston Regional Office, Regional Director, 33 Arch Street, 23rd Floor, Boston, MA 02110-1424; Philadelphia Regional Office, Regional Director, The Mellon Independence Center, 701 Market Street, Philadelphia, PA 19106-1532; Miami Regional Office, Regional Director, 801 Brickell Ave., Suite 1800, Miami, FL 33131, Atlanta Regional Office, Regional Director, 3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232; Chicago Regional Office, Regional Director, 175 W. Jackson Boulevard, Suite 900, Chicago, IL 60604; Denver Regional Office, Regional Director, 1801 California Street, Suite 1500, Denver, CO 80202-2656; Fort Worth Regional Office, Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit 18, Fort Worth, TX 76102; Salt Lake Regional Office, Regional Director, 15 W. South Temple Street, Suite 1800, Salt Lake City, UT 84101; Los Angeles Regional Office, Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648; San Francisco Regional Office, Regional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in these records is supplied by: Individuals including, where practicable, those to whom the information relates; witnesses, banks, corporations, or other entities; self-regulatory organizations; the Postal Inspection Service, the Department of Justice, state securities commissions, other Federal, state, or local bodies and law enforcement agencies or foreign governmental authorities; public sources, i.e., libraries, newspapers, television, radio, court records, filings with Federal, state, and local bodies; filings made with the SEC pursuant to law; electronic information sources; other offices within the Commission; documents, litigation, transcripts of testimony, evidence introduced into court, orders entered by a court and correspondence relating to litigation; pleadings in administrative proceedings, transcripts of testimony, documents, including evidence entered in such proceedings, and miscellaneous other sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled for law enforcement purposes. This exemption is contained in 17 CFR 200.312(a)(1).
</p></xhtmlContent></subsection></section>
<section id="sec43" toc="yes">
<systemNumber>-43</systemNumber>
<subsection type="systemName">Office of Inspector General Investigative Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-2376.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system of records contains records on individuals who are or have been subjects of the Office of Inspector General’s investigations or inquiries relating to programs and operations of the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Incoming complaints and complaint logs; preliminary inquiry files and indexes; all correspondence relevant to the investigation; all internal staff memoranda; copies of all subpoenas issued during the investigation; affidavits, declarations and statements from witnesses; transcripts of testimony taken in the investigation and accompanying exhibits; documents and records or copies obtained during the investigation; working papers of the staff and other documents and records relating to the investigation; opening reports, investigative plans, progress reports, and closing reports; and investigative peer review files.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Inspector General Act of 1978, as amended, Pub. L. 95-452, 5 U.S.C. App.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to enable the Commission’s Office of Inspector General to carry out its mandate under the Inspector General Act Amendments of 1988. The system will consist of files and records compiled by the Commission’s Office of Inspector General on Commission employees or other persons who have been part of an investigation for fraud and abuse with respect to the Commission’s programs and operations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information in the system may be disclosed:
</p><p>(1) Where there is an indication of a violation or a potential violation of law, whether civil, criminal or regulatory in nature, whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, to the appropriate agency, whether Federal, foreign, state, or local, or to a securities self-regulatory organization, charged with enforcing or implementing the statute, or rule, regulation or order.
</p><p>(2) To Federal, foreign, state, or local authorities in order to obtain information or records relevant to an Office of Inspector General investigation or inquiry.
</p><p>(3) To Federal, foreign, state, or local governmental authorities in response to their request in connection with the hiring or retention of an employee, disciplinary or other administrative action concerning an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision in the matter.
</p><p>(4) To non-governmental parties where those parties may have information the Office of Inspector General seeks to obtain in connection with an investigation or inquiry.
</p><p>(5) To independent auditors or other private firms or individuals with which the Office of Inspector General has contracted to carry out an independent audit, or to provide support for audits, reviews, investigations or other inquiries. These contractors will be required to maintain Privacy Act safeguards with respect to such records.
</p><p>(6) To respond to subpoenas in any litigation or other proceeding.
</p><p>(7) To the Department of Justice and/or the Office of General Counsel of the Commission when the defendant in litigation is: (a) Any component of the Commission or any employee of the Commission or any employee of the Commission in his or her official capacity; (b) the United States where the Commission determines that the claim, if successful, is likely to directly affect the operations of the Commission; or (c) any Commission employee in his or her individual capacity where the Department of Justice and/or the Office of General Counsel of the Commission agree to represent such employee.
</p><p>(8) To a Congressional office in response to an inquiry from the Congressional office made at the request of an individual but only from the record of that individual.
</p><p>(9) To inform complainants, victims, and witnesses of the results of an investigation or inquiry.
</p><p>(10) To qualified individuals or organizations in connection with the performance of a peer review or other study of the Office of Inspector General’s audit or investigative functions.
</p><p>(11) To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action.
</p><p>(12) To the Department of Justice for the purpose of obtaining its advice on Freedom of Information Act matters.
</p><p>(13) To the Office of Management and Budget for the purpose of obtaining its advice on Privacy Act matters.
</p><p>(14) To a public or professional licensing organization if the record indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.
</p><p>(15) To the Office of Government Ethics (OGE) to comply with agency reporting requirements established by OGE in 5 CFR part 2638, subpart F.
</p><p>(16) To the news media and the public when there exists a legitimate public interest (<i>e.g.</i>, to provide information on events in the criminal process, such as an indictment).
</p><p>(17) To the Integrity Committee of the President’s Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency, another Federal Office of Inspector General, or other Federal law enforcement office in connection with an investigation, inquiry or review conducted pursuant to Executive Order 12993, or at the request of the SEC Inspector General.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The Office of Inspector General Investigative Files consists of paper records maintained in folders, binders and logbooks; various records in electronic form; and an automated data base. The folders, binders and logbooks are stored in the Office of Inspector General’s file cabinets and offices. The automated data base and electronic records are maintained on a file server and backup tapes in encrypted form.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrieved by the name of the subject of the investigation or inquiry, or by a unique control number assigned to each investigation or inquiry.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>These records are available only to those persons whose official duties require such access. The records are kept in limited access areas during duty hours and in locked file rooms or locked offices at all other times.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The Investigative Files are kept in accordance with the Office of Inspector General’s record retention schedule.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Inspector General, Office of Inspector General, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in these records is supplied by: Individuals including, where practicable, those to whom the information relates; witnesses, corporations and other entities; records of individuals and of the Commission; records of other entities; Federal, foreign, state or local bodies and law enforcement agencies; documents and correspondence relating to litigation; transcripts of testimony; and miscellaneous other sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(j)(2), this system of records, to the extent it pertains to the enforcement of criminal laws, is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i).
</p><p>Pursuant to 5 U.S.C. 552a(k)(2), this system of records to the extent it consists of investigatory material compiled for law enforcement purposes, is exempted from the following provisions of the Privacy Act of 1974, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2).
</p><p>These exemptions are contained in 17 CFR 200.313.
</p></xhtmlContent></subsection></section>
<section id="sec44" toc="yes">
<systemNumber>-44</systemNumber>
<subsection type="systemName">Ridesharing System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Operations Center, Office of Administrative and Personnel Management, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC employees who participate in a vanpool or carpool and apply for parking permits.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include SEC Form 2421 (Official Parking Application). Records contain the employee’s name, home address, SEC telephone number, and vehicle make, model, year, tag number, and state.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Exec. Order 12191; 41 CFR 101-6.3; 41 CFR 101-20.104; and 41 CFR 101-20.104-1 through 4, and 42 U.S.C. 13201.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is primarily designed to encourage the formulation of carpools or vanpools, as a means to conserve petroleum, reduce congestion, and improve air quality; and to provide equitable parking based upon established criteria.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>No routine use disclosures have been established for these records. The records and information contained in these records will not be disclosed outside the SEC, unless mandated by law. See Conditions of Disclosure to Third Parties, 5 U.S.C. 552a(b).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Electronic records may be searched and retrieved by the employee’s name or parking permit number. Paper records are retrieved by the parking permit number only.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are placed in a locked file cabinet, and the data which is extracted from these paper records is keyed into a computer database, safeguarded by restricted passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained on one form and in a computer database. Documentation (paper and electronic records) is kept for two years then destroyed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Administrative and Personnel Management, Operations Center, Securities and Exchange Commission, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by SEC employees, who have applied for parking, and by the issuing official.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec45" toc="yes">
<systemNumber>-45</systemNumber>
<subsection type="systemName">Public Transportation Subsidy Program.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Operations Center, Office of Administrative and Personnel Management, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District Offices are as follows: Central Regional Office, 1801 California Street, Suite 4800, Denver, CO 80202-2648; Midwest Regional Office, 500 West Madison Street, Suite 1400, Chicago, IL 60661-2511; Northeast Regional Office, 7 World Trade Center, Suite 1300, New York, NY 10048; Southeast Regional Office, 1401 Brickell Avenue, Suite 200, Miami, FL 33131; Atlanta District Office, 3475 Lenox Road, N.E., Suite 1000, Atlanta, GA 30326-1232; Boston District Office, 73 Tremont Street, Suite 600, Boston, MA 02108-3812; Fort Worth District Office, 801 Cherry Street, 19th Floor, Fort Worth, TX 76102; Philadelphia District Office, The Curtis Center, Suite 1005 East, 601 Walnut Street, Philadelphia, PA 19106-3322; San Francisco District Office, 44 Montgomery Street, Suite 1100, San Francisco, CA 94104; and Salt Lake District Office, 50 South Main Street, Suite 500, Salt Lake City, UT 84144-0402.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC employees who use public transportation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include the employee’s name, date of hire, social security number, organization, grade, and date of annual certification.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Exec. Order 12191; Pub. L. 101-509, Section 629; Pub. L. 103-172; 26 CFR 1.132-6; and 42 U.S.C. 13201.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is primarily designed to encourage employees to use public transportation as a means to conserve petroleum, reduce congestion, and improve air quality.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The information contained in these records are used as follows:
</p><p>1. To the appropriate personnel for periodic review of revalidation for subsidy;
</p><p>2. To the Office of Inspector General for investigating allegations of abuse, should they occur;
</p><p>3. To the appropriate Federal, State, or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order where the SEC becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation; and
</p><p>4. To another Federal agency or to a court when the Government is party to a judicial proceeding before the court.
</p></xhtmlContent></subsection>

<subsection type="retrievability"><xhtmlContent><p>Records are maintained alphabetically and retrieved by the employee’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Computerized records are safeguarded by restricted passwords and the paper records are locked in file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in either paper or electronic form may include applications, certification logs, vouchers, and spreadsheets, used to document the disbursement of transportation subsidies. These records are destroyed after three years under the National Archives and Records Administration’s General Records Schedule No. 9, Item 7.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Administrative and Personnel Management, Operations Center, Securities and Exchange Commission, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District Offices are as follows: Central Regional Office, 1801 California Street, Suite 4800, Denver, CO 80202-2648; Midwest Regional Office, 500 West Madison Street, Suite 1400, Chicago, IL 60661-2511; Northeast Regional Office, 7 World Trade Center, Suite 1300, New York, NY 10048; Southeast Regional Office, 1401 Brickell Avenue, Suite 200, Miami, FL 33131; Atlanta District Office, 3475 Lenox Road, N.E., Suite 1000, Atlanta, GA 30326-1232; Boston District Office, 73 Tremont Street, Suite 600, Boston, MA 02108-3812; Fort Worth District Office, 801 Cherry Street, 19th Floor, Fort Worth, TX 76102; Philadelphia District Office, The Curtis Center, Suite 1005 East, 601 Walnut Street, Philadelphia, PA 19106-3322; San Francisco District Office, 44 Montgomery Street, Suite 1100, San Francisco, CA 94104; and Salt Lake District Office, 50 South Main Street, Suite 500, Salt Lake City, UT 84144-0402.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records include SEC Form 2344, Return/Termination of Public Transportation Subsidy; SEC Form 2316, Employee Certification for Public Transportation Subsidy; SEC Form 2317, Receipt for Public Transportation Subsidy; SEC Form 2318, Disbursing Agents, Voucher; and SEC Form 2407, Authorization for Third-Party Receipt of Public Transportation Subsidy.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec46" toc="yes">
<systemNumber>-46</systemNumber>
<subsection type="systemName">Identification and Access Control Cards, Special Credentials, Press Passes, and Building Access Control Cards.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Office of Administrative Services, 100 F Street, NE., Washington, DC 20549-1627.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Commission employees, members of the press, contractors, volunteers, tenants, and consultants or employees of other Federal agencies who require access to Commission facilities for extended periods of time.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include Government Personal Identity Verification (PIV) Card (The SEC PIV Card provider is the General Services Administration (GSA), and the full list of card fields maintained in the GSA system is covered by the GSA system of records, GSA-GOVT-7, Personal Identity Verification Identity Management System (PIV IDMS). The SEC system of records contains the following: name, date of birth, weight, height, color of hair and eyes, photograph, employee record number, card chip number, authorized access rights, date of issuance, date of return, date background investigation completed, whether eligible for an SEC Special Credential [SEC Form 990], and date of expiration); SEC Form 980, Headquarters and Field Office Access Card (name, date of birth, weight, height, color of hair and eyes, photograph, employee record number, card chip number, authorized access rights, date of issuance, and date of expiration); SEC Form 980A, Day Pass (date, name, organization, and authorized by); SEC Form 990, Special Credential (signature of authorizing official, photograph, control number, date of issuance and date of expiration); SEC Form 2355, On-Site Business &amp; Registered Client ID (name, requesting officer, name of company or organization, control number, identification number, date of issue, expiration date, relationship to business, date of birth, color of hair and eyes, height, weight, photograph, and authorized access rights); SEC Form 725, Identification/Access Control Card Worksheet (various personal characteristics); and local facility access card (name, authorized access rights, card number, date issued and date of expiration, company/agency name and SEC division/office).
</p><p><b>Note:</b> The extent to which the Commission has records of a personnel investigative nature that come from the Office of Personnel Management (OPM) or its contractors, they are covered by OPM/CENTRAL-9, Personnel Investigations Records, and not this system notice.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Federal Property and Administrative Services Act of 1949 (63 Stat. 377), as amended; Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system is primarily designed to permit access according to authorized access rights to Commission facilities by Commission employees, contractors, consultants, volunteers, tenants, members of the press, and employees of other Federal agencies (only if they require access to Commission facilities for extended periods of time). This system also provides the status indicator of the PIV Cards to a separate secure database as required by Homeland Security Presidential Directive (HSPD)--12 so that other Federal agencies may verify the identity and current status of the PIV cardholder.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information contained in these records may be disclosed as follows:
</p><p>1. To the appropriate Federal, State or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where the Commission becomes aware of an indication of a violation or potential violation of civil or criminal law or regulation;
</p><p>2. To another Federal agency or to a court when the Government is party to a judicial proceeding before the court;
</p><p>3. To a Federal, State, or local agency, in response to its requests, in connection with the hiring or retention of an employee, the issuance of a security clearance, or the conducting of a security or background investigation of an individual, to the extent that the information is relevant and necessary to the requesting agency;
</p><p>4. To the Office of Inspector General for investigating allegations of abuse, should it occur;
</p><p>5. To other Federal agencies to verify the identity and status of the PIV Card holder;
</p><p>6. To Commission contractors or their authorized employees, and other Federal agencies, as necessary, for the purpose of assisting the Commission in the efficient administration of its programs. These contractors will be required to maintain Privacy Act safeguards with respect to such records; and
</p><p>7. In connection with organizational directories or similar records for internal management purposes.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are stored in electronic media and in paper files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the employee’s name or identification number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded by restricted computer passwords, locked file cabinets, and safes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in a computerized database and paper. Electronic records, identification cards, and passes are destroyed three months after expiration, revocation, or return to issuing office, as provided in the National Archives and Records Administration’s General Records Schedule No. 11, Item 4.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Office of Administrative Services, Security Branch, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The issuing official, Commission employee, contractor, volunteer, on-site business owner or client, employee of other Federal agency, visitor, or press member being issued the identification/access card provides the information.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec47" toc="yes">
<systemNumber>-47</systemNumber>
<subsection type="systemName">Disgorgement and Penalties Tracking System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, Office of the Secretary, 450 Fifth Street, NW, Mail Stop 0609, Washington, DC 20549-0609.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals or entities that have been ordered to pay disgorgement and/or monetary penalties in SEC injunctive actions and administrative proceedings.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information on individuals or entities from whom the Commission is seeking or has obtained an order to pay disgorgement and/or monetary penalties, including the individual’s or entity’s name; the dates the Commission authorized, instituted, and/or settled an action; the responsible Commission staff; the internal case tracking number; the date the judgment or administrative order was entered; the amount of disgorgement and/or monetary penalties to be paid; the payment due date for disgorgement and/or monetary penalties; the date and amount of payments; the amount of disgorgement waived; and the status of debt collection efforts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77h-1, 77t, 77x, 78u, 78ff, 79z-3, 80a-9, 80a-41, 80a-48, 80b-3, and 80b-9.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system is being initiated to enable the Commission’s staff to track the collection of disgorgement and monetary penalties arising out of SEC-initiated civil actions and administrative proceedings to enforce the federal securities laws.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions for disclosure specified at 5 U.S.C. 552a(b), the SEC’s staff may use these records and the information contained in the records routinely, as provided at 5 U.S.C. 552a(b)(3), as follows:
</p><p>(1) To provide information to the Department of the Treasury, on a quarterly and annual basis, on the Commission’s monetary penalty receivables;
</p><p>(2) To provide information to the Department of the Treasury and other federal agencies while assisting in the collection of past due disgorgement and/or monetary penalties; and
</p><p>(3) To provide information to persons, as appropriate, while assisting in the collection of past due disgorgements and/or monetary penalties.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained electronically and on paper.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved electronically by the internal case tracking number, the case name, and the individual’s or entity’s name. Paper records may be retrieved by the internal case tracking number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Paper records are kept in locked file cabinets. Electronic records can be retrieved only by authorized persons using appropriate passwords.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Paper records and computer database records are maintained until matter is closed plus 25 years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Mail Stop 0609, Washington, DC 20549-0609.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual or entity may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by Commission staff, and is extracted from Commission memoranda, Commission releases, judgments, and administrative orders. Additional information regarding the status of payments is provided in the form of copies of checks and/or money orders and from the Department of the Treasury’s debt collection referral program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec48" toc="yes">
<systemNumber>-48</systemNumber>
<subsection type="systemName">SEC Employee’s Health and Fitness Program Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549.
</p><p>Aquila Fitness Consulting Systems, Ltd., 429 Lenox Avenue, Suite 4W21, Miami Beach, FL 33139-6532.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC employees who voluntarily sign up for membership benefits for SEC fitness programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may contain employee name, division, office address, email address, home address, home and cell telephone numbers, date of birth, health pre-screening questions, membership number, fee and payment information (including electronic debit information), and fitness progress charts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7901, et seq.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The system enables SEC Fitness Center staff to track Fitness Center membership, fee payments, and the physical fitness of members. The primary use of these records is to allow the SEC to provide a variety of health and fitness resources to its employees.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>3. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>4. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>5. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>6. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf, including, but not limited to, supplemental health, dental, disability, life and other benefit programs.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the individual’s name or membership number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>All information is provided by Fitness Center members.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec49" toc="yes">
<systemNumber>-49</systemNumber>
<subsection type="systemName">Broker-Dealer Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records filed before August 16, 1999: SEC, 450 Fifth Street, NW, Washington, DC 20549; and
</p><p>Records filed on or after August 16, 1999: NASD, 1390 Piccard Drive, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Registrants and officers, directors, principal shareholders, or other individuals related to them.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 78o.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To help the SEC staff process applications for registration or exemption and related forms under the Securities Exchange Act of 1934 and implement the Federal securities laws and rules.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), the SEC staff may provide these records to:
</p><p>(1) Any member of the general public upon request;
</p><p>(2) Any Federal, state, local, or foreign government authority or securities self-regulatory organization that is investigating a violation or potential violation of a statute, rule, regulation, or order;
</p><p>(3) Any Federal, state, local, or foreign bar association or similar licensing authority responsible for possible disciplinary action;
</p><p>(4) Any Federal, state, or local government or governmental authority that is deciding to hire or retain an individual, sign a contract, or issue a license, grant, or benefit;
</p><p>(5) Any individual or entity appointed by a court of competent jurisdiction or agreed upon by the parties to a pending court action or administrative proceeding alleging a violation of the Federal securities laws or rules; and
</p><p>(6) Any contractor that performs, on the SEC’s behalf, services requiring the use of these records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records filed before August 16, 1999 in the SEC’s custody are maintained in paper, microfiche, or electronic formats. Records filed on or after August 16, 1999 in the NASD’s custody are maintained in paper or electronic format (Web CRD).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by the name of, or a file number assigned to, the registrant. Individual name access to these records is available through the SEC’s Name-Relationship Search Index.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Non-computer records in the SEC’s custody are maintained in a central records facility that only authorized individuals may access. The facility is locked, with security cameras and a 24-hour security guard. Computer records, which are subject to data integrity controls, require passcodes for database access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in the SEC’s custody are transferred to the Federal Records Center periodically for storage. They are controlled by file number and retained under 17 CFR 200.80f. Permanent files are sent to the National Archives and Records Administration after a specified storage time at the Federal Records Center. Nine years from their receipt by the NASD, the records in the NASD’s custody are transferred to the SEC for proper disposition.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records filed before August 16, 1999--Records Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p><p>Records filed on or after August 16, 1999--NASD, 1390 Piccard Drive, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests to determine whether this system of records contains a record pertaining to the requesting individual should be sent to the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to access or contest these records should write the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Records Access Procedures, above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Applications for registration or exemption and related forms filed with the SEC under the Securities Exchange Act of 1934.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec50" toc="yes">
<systemNumber>-50</systemNumber>
<subsection type="systemName">Investment Adviser Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Records filed before January 1, 2001 and paper records filed after January 1, 2001: SEC, 450 Fifth Street, NW, Washington, DC 20549; and Form ADV applications for registration, Form ADV Amendments, and Form ADV-W withdrawal notices filed electronically on IARD after January 1, 2001: NASDR, 9509 Key West Avenue, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Registrants and officers, directors, principal shareholders, or other individuals related to them.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, telephone number, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 80b-3 and 80b-6a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To help the SEC staff process applications for registration or exemption and related forms under the Investment Advisers Act of 1940 and implement the Federal securities laws and rules.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), the SEC staff may provide these records to:
</p><p>(1) Any member of the general public upon request;
</p><p>(2) Any Federal, state, local, or foreign government authority or securities or commodities self-regulatory organization that is investigating a violation or potential violation of a statute, rule, regulation, or order;
</p><p>(3) Any Federal, state, local, or foreign bar association or similar licensing authority responsible for possible disciplinary action;
</p><p>(4) Any Federal, state, or local government or governmental authority that is deciding to hire or retain an individual, sign a contract, or issue a license, grant, or benefit;
</p><p>(5) Any individual or entity appointed by a court of competent jurisdiction or agreed upon by the parties to a pending court action or administrative proceeding alleging a violation of the Federal securities laws or rules; and
</p><p>(6) Any contractor that performs, on the SEC’s behalf, services requiring the use of these records.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records filed before January 1, 2001 and paper records filed after January 1, 2001 in the SEC’s custody are maintained on paper, microfilm, or magnetic tape and in a computer system.
</p><p>Form ADV applications for registration, Form ADV amendments and Form ADV-W notices of withdrawal filed electronically on the IARD after January 1, 2001 in the NASDR’s custody are maintained in electronic format (IARD).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by the name of, or a file number assigned to, the registrant. Individual name access to these records is available through the SEC’s Name-Relationship Search Index.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Non-computer records in the SEC’s custody are maintained in a central records facility that only authorized individuals may access. The facility is locked, with security cameras and a 24-hour security guard. Computer records, which are subject to data integrity controls, require passcodes for database access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in the SEC’s custody are transferred to the Federal Records Center periodically for storage. They are controlled by file number and retained under 17 CFR 200.80f.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Records filed before January 1, 2001 and paper records filed after January 1, 2001--Records Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p><p>Form ADV applications for registration, Form ADV amendments and Form ADV-W notices of withdrawal filed electronically on IARD after January 1, 2001--NASDR, 9509 Key West Avenue, Rockville, MD 20850.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests to determine whether this system of records contains a record pertaining to the requesting individual should be sent to the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to access or contest these records should contact the Privacy Act Officer, SEC Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Records Access Procedures, above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Registrations and related forms filed with the SEC under the Investment Advisers Act of 1940.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec51" toc="yes">
<systemNumber>-51</systemNumber>
<subsection type="systemName">Emergency Contingency Plan System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>SEC, 450 Fifth Street, NW., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members and employees of the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name; job title; organizational code number; work and home addresses; work and personal electronic mail addresses; work, home, and cellular telephone numbers; pager numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, Executive Order 12656 (Nov. 18, 1988), Assignment of Emergency Preparedness Responsibilities.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to maintain emergency contact information for current members and employees of the Commission for use in developing and maintaining emergency contingency operations plans, such as a formal continuity of operations (COOP) plan, for the Commission. This data will be used for alert and notification purposes, determining team and task assignments, developing and maintaining an emergency contact system for general emergency preparedness programs and specific situations. COOP activities involve ensuring the continuity of minimum essential agency functions through plans and procedures governing succession to office and the emergency delegation of authority (where permissible). Other emergency contingency plans include plans for Commission-wide response to threat alerts issued by the Department of Homeland Security (DHS).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), Commission staff may provide these records to any Federal government authority for the purpose of coordinating and reviewing agency continuity of operations plans or emergency contingency plans developed for responding to Department of Homeland Security threat alerts.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>These records are maintained on paper and in electronic format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>These records are retrievable by individual’s names, or by the categories listed above under "Categories of Records in the System."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to the records is restricted to those who require the records in the performance of official duties related to the purposes for which the system is maintained.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Periodic purging and disposal of those records concerning individuals no longer members or employees of the Commission. Otherwise, records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-1101.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Requests to determine whether this system of records contains a record pertaining to the requesting individual should be sent to the Privacy Act Officer, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to access or contest these records should write the Privacy Act Officer, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures, above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records are obtained from the position control system and from the individual.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec52" toc="yes">
<systemNumber>-52</systemNumber>
<subsection type="systemName">Visitor Badge and Employee Day Pass System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Visitors from the public, other Federal agencies, Commission employees who require a Day Pass and Commission employees who pre-register or authorize visitors. The system also covers individuals or organizations that send and/or deliver trackable mail to the Commission (<i>e.g.</i>, express mail, courier mail, or other forms of mail that is tracked from the sender to the recipient).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include name, photograph, signature, company name, the number of the printed badge issued for each visit, visitor category, business phone number, fax number, address, e-mail address, Web site if available, other information from scanned business cards, and the location, date, and time of entry to the secure Commission facility. Records will also include the following information from scanned driver’s licenses: Date of birth, weight, height, color of hair and eyes, date of expiration, and issuing jurisdiction (license numbers will not be saved in the system). Further information contained within the system will be the name and title of the person being visited, the reason for the visit to the facility, notation of approved parking, and the name, phone number and e-mail address of Commission personnel requesting authorization for the visitor access. The system will maintain check in and check out times, current status of visitor, and a custom ID number assigned sequentially by the system software for each visitor record. The software system and data base has a module for tracking packages as well. Records include package check in time, quantity of packages, name of employee to whom the package is addressed, location of package, sender’s name, type of package, added description (if appropriate), carrier/agent delivering the package, time and name of person to whom package is delivered (final destination within the Commission), and a custom ID number assigned sequentially by the system software for each visitor record.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and Executive Order 13231 of October 16, 2001 on Critical Infrastructure Protection.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>This system was primarily designed to permit access to Commission facilities by public visitors and representatives from other Federal agencies. It is also used to issue day passes for Commission staff members or contract employees who are not presently in possession of their ID and need to enter the workplace to perform their duties. The system is further used to record and monitor the status of trackable (special handling) mail.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records and information contained in these records may be disclosed as follows:
</p><p>(1) To the appropriate Federal, State or local agency responsible for investigating, prosecuting, enforcing, or implementing a statute, rule, regulation, or order, where the Commission or other appropriate Federal, State or local agency may be aware of an indication of an actual or potential health, safety or national security concern or a violation or potential violation of civil or criminal law or regulation;
</p><p>(2) To another Federal agency, in connection with a court proceeding when the Government is party to a proceeding before the court or to an adjudicative tribunal when the Government is appearing in a proceeding before that tribunal;
</p><p>(3) To a Federal, State, or local agency, in response to its requests, in connection with the hiring or retention of an employee, the issuance of a security clearance, or the conducting of a security or background investigation of an individual, to the extent that the information is relevant and necessary to the requesting agency;
</p><p>(4) To the Office of the Inspector General for investigating allegations of abuse or misconduct, or to perform other functions within the jurisdiction of the Office of the Inspector General; and
</p><p>(5) To the Commission Security Branch and/or the Office of the Inspector General in routine and ad hoc reports to review visitor and day pass activity and to assess compliance with established security procedures and policies.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in a computerized database and on paper. Paper documents are kept in filing cabinets in secured facilities.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By use of a database, records may be retrieved by the individual’s name, date of visit and/or badge number (as printed in the form of a bar code on the badge).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded by restricted computer passwords, locked file cabinets, and safes.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are maintained in a computerized database and on paper. Printed badges, and returned passes (and corresponding electronic records) are destroyed three months after expiration, revocation, or return to issuing office, as provided in the National Archives and Records Administration’s General Records Schedule No. 11, Item 4.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief of Security Branch, Office of Administrative Services, Security Branch, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by the visitor seeking access to Commission facilities to meet with Commission employees or contractors, by Commission employees who pre-register visitors, and by Commission employees or badged contractors who do not have their ID and yet seek access to their workplace for official business. Additionally, information is provided by individuals sending trackable (special handling) mail. Information is further provided by carriers and/or agents that deliver such mail. Persons who decline to provide the requested information will be denied access.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec53" toc="yes">
<systemNumber>-53</systemNumber>
<subsection type="systemName">Automated Emergency Notification System.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Members and employees of the Commission, and selected contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, Commission division or office, home zip code, work and personal electronic mail addresses, work, home and cellular telephone numbers, and Blackberry PIN numbers.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301 and Executive Order 12656 of Nov. 18, 1988 on Assignment of Emergency Preparedness Responsibilities.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p> The purpose of this system of records is to maintain emergency contact information for current members, employees and selected contractors of the Commission. The system provides for high-speed message delivery that reaches all Commission personnel in response to threat alerts issued by the Department of Homeland Security, weather related emergencies or other critical situations that disrupt the operations and accessibility of a worksite. The system also provides for personnel accountability during an emergency, through personnel sign-in and rapid alert and notification.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to the conditions of disclosure under 5 U.S.C. 552a(b), Commission staff may provide these records to any Federal government authority for the purpose of coordinating and reviewing agency continuity of operations plans or emergency contingency plans developed for responding to Department of Homeland Security threat alerts, weather related emergencies or other critical situations.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p> Records are maintained in a computerized database and on paper. Paper documents are kept in filing cabinets in secured facilities.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual’s name or by the categories listed above under "Categories of Records in the System."
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded by restricted computer passwords, locked file cabinets, and safes. Access to the records is restricted to those who require the records in the performance of official duties related to the purposes for which the system is maintained.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Periodic purging and disposal of those records concerning individuals no longer members, employees or contractors of the Commission. Otherwise, records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records Schedules.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, Office of the Executive Director, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by current members and employees of the Commission and selected contractors.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec54" toc="yes">
<systemNumber>-54</systemNumber>

<subsection type="systemName">Photographic Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Commission staff, visitors from other Federal agencies and members of the public.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>The records in the system include photographic prints, negatives, and slides. Records may also include digital photographs, as well as digitized images of photographic prints, negatives, and slides. Indexing data, including such data elements as date, event, and personal name, will be created for these materials.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301, Departmental Regulations.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Photographic files are provided to the Securities and Exchange Commission library ("Library") on an ongoing basis for inclusion in the Library’s collection. Many of the photographic materials in the collection are old and fragile. Repeated handling of these materials causes further damage. Digitizing this collection will support the preservation of these materials, and indexing the collection by such information as date, event, and personal name, will make these materials accessible to Commission staff and the public.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>These records may be disclosed to the public as follows:
</p><p>(1) For reproduction by Commission staff organizing such events as awards ceremonies, farewell ceremonies and receptions, Commission anniversary ceremonies and receptions, and Commission training and educational programs;
</p><p>(2) For distribution and presentation for news, public relations and community affairs purposes; and
</p><p>(3) In support of research activities conducted by staff of the Commission and other Federal agencies, as well as members of the public.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The photographic prints, negatives, and slides are stored in the Commission’s Library in a locked file room. These photographic materials will be transferred to the Office of Filings and Information Services after they have been digitized. Digital images, along with indexing data, will be stored on secure Commission servers and made available on the Commission’s intranets and public Web site, as appropriate.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by such information as date of event, name of event, and/or name(s) of individual(s), where such information is available.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Physical photographic materials are stored in a locked file room in the Commission’s Library. The Library is in a secured area. Digital records and indexing data are stored on secure servers. Server access is limited to authorized personnel whose duties require such access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Physical and electronic photographic file records are permanent. Records will be retired to Washington National Records Center.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Cynthia Plisch, Assistant Director, Reference and Information Services, Securities and Exchange Commission, Library, 100 F Street, NE., Room 1550, Washington, DC 20549-1550, 202-551-5450.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to: Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to, or contesting the contents of, this record may contact: Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Photographic files are provided to the Library for inclusion in the Library’s collection on an ongoing basis. Donors include Commission employees who have photographed an event or individuals donating their photographic collections to the Library for the purposes of preservation and access. Indexing information is derived from information recorded on photographs, or from Commission staff or other individuals who have knowledge of the event and individuals photographed.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="sec55" toc="yes">
<systemNumber>-55</systemNumber>
<subsection type="systemName">Information Pertaining or Relevant to SEC Registrants and Their Activities.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p><p>Records also are maintained in the SEC’s Regional Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records concern individuals associated with entities or persons that are registered with the SEC as brokers-dealers, investment advisers, investment companies, self-regulatory organizations, clearing agencies, nationally recognized statistical rating organizations, and transfer agents (individually, a "Registrant;" collectively, "Registrants"). Records may also concern persons, directly or indirectly, with whom Registrants or their affiliates have client relations or business arrangements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may contain information relating to the business activities and transactions of Registrants and their associated persons, as well as their compliance with provisions of the Federal securities laws and with rules of self-regulatory organizations and clearing agencies. Records may also contain information regarding the business activities and transactions of individuals or entities with whom Registrants have client relations or business arrangements.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 78a <i>et seq.,</i> 80a-1 <i>et seq.,</i> and 80b-1 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>1. For use by authorized SEC personnel in connection with their official functions including, but not limited to, the conduct of examinations for compliance with Federal securities laws, investigations into possible violations of the Federal securities laws, and other matters relating to the SEC’s regulatory and law enforcement functions.
</p><p>2. To maintain continuity within the SEC as to each Registrant and to provide SEC staff with the background and results of earlier examinations of Registrants, as well as an insight into current industry practices or possible regulatory compliance issues.
</p><p>3. To conduct lawful relational searches or analysis or filtering of data in matters relating to the SEC’s examination, regulatory, or law enforcement functions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the Federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; State securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the Federal securities laws.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, State accountancy board, or other Federal, State, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a Federal, State, local, Tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a Federal, State, local, Tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a)).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the Federal securities laws as provided in 15 U.S.C. 78c(a)(47)), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To members of Congress, the General Accountability Office, or others charged with
monitoring the work of the Commission or conducting records management inspections.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format and paper form. Electronic records are stored in computerized databases. Records stored on other electronic media (<i>e.g.,</i> magnetic disk, tape, optical disk) and in paper form are stored in locked file rooms or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Information is indexed by name of the Registrant or by certain SEC identification numbers. Information regarding individuals may be obtained through the use of cross-reference methodology or some form of personal identifier. Access for inquiry purposes is generally via a computer terminal.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24-hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission shall be required to comply with the Privacy Act and applicable agency rules and regulations issued under the Act.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Record sources include filings made by Registrants; information obtained through examinations or investigations of Registrants and their activities; information contained in SEC staff correspondence with Registrants; information received from other Federal, State, local, foreign, or other regulatory organizations or law enforcement agencies; complaint information received by the SEC via letters, telephone calls, e-mails or any other form of communication; and data obtained from third-party sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec56" toc="yes">
<systemNumber>-56</systemNumber>
<subsection type="systemName">Mailing, Contact and Other Lists.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Records are also maintained in the SEC Regional Offices.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records contain information related to individuals and employees who submit requests for information, subscriptions, inquiries, guidance, informal advice and other assistance to the SEC in any format, including but not limited to paper, telephone, and electronic submissions; SEC personnel assigned to handle such correspondence; individuals who have registered for SEC events, such as seminars, training programs or compliance meetings; and individuals who have responded to questionnaires, request forms and feedback forms.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may contain information relating to but not limited to name, title, affiliation, mailing address, telephone number, cell phone number, fax number, e-mail address, business affiliation, other contact and related supporting information provided to the Commission by individuals or derived from other sources covered by this system of records and not currently covered under an existing SORN.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77a <i>et seq.</i>, 78a <i>et seq.</i>, 80a-1 <i>et seq.</i>, and 80b-1 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>1. To track and process complaints/inquiries/requests/comments and communications from members of the public, including industry representatives, counsel, and others.
</p><p>2. To handle subscription requests for informational literature, reports, and other SEC materials, via individual, mass, and targeted mailing in the furtherance of SEC activities.
</p><p>3. To process registration to SEC-related activities and events, and allow the sharing of personal contact information of registrants who consent to the sharing of their personal information at the time of registration.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the SEC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, state, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.
</p><p>3. Records in this system may, in the discretion of the Commission’s staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>4. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>5. Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official, designated functions.
</p><p>6. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>7. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>8. To individuals who register for SEC-sponsored seminars, training programs or compliance meetings, such as the CCOutreach Program.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format, paper form, magnetic disk and tape. Electronic records are stored in computerized databases. Paper, magnetic disk or tape records are stored in locked file rooms or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the following: E-mail address, name, or an assigned file number for the purpose of responding to the requestor. Information may additionally be retrieved by other personal identifiers.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p><i>For SEC Headquarters
</i></p><p>U. S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Components: Office of the Chairman and Commissioners, Division of Corporation Finance, Division of Trading and Markets, Division of Investment Management, Division of Enforcement, Office of the General Counsel, Office of the Chief Accountant, Office of Economic Analysis, Office of Compliance Inspections and Examinations, Office of International Affairs, Office of Investor Education and Advocacy, Office of Information Technology, Office of the Executive Director, Office of Human Resources, Office of Financial Management, Office of Administrative Services, Office of Risk Assessment, Office of the Inspector General, Office of Legislative and Intergovernmental Affairs, Office of Public Affairs, Office of the Secretary, Office of Equal Employment Opportunity, and Office of Administrative Law Judges.
</p><p><i>For Regional Offices
</i></p><p>New York Regional Office, Regional Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022; Boston Regional Office, Regional Director, 33 Arch Street, 23rd Floor, Boston, MA 02110-1424; Philadelphia Regional Office, Regional Director, The Mellon Independence Center, 701 Market Street, Suite 2000, Philadelphia, PA 19106-1532; Miami Regional Office, Regional Director, 801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901, Atlanta Regional Office, Regional Director, 3475 Lenox Road, NE, Suite 1000, Atlanta, GA 30326-1232; Chicago Regional Office, Regional Director, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908; Denver Regional Office, Regional Director, 1801 California Street, Suite 1500, Denver, CO 80202-2656; Fort Worth Regional Office, Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882; Salt Lake Regional Office, Regional Director, 15 West South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573; Los Angeles Regional Office, Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648; San Francisco Regional Office, Regional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>The information is supplied by the individual and/or company making the request; or the individual who has registered for an SEC-related event such as a seminar, training program or compliance meeting. Data may also be added pertaining to the fulfillment of the request. Information may also be obtained from other SEC records systems.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec57" toc="yes">
<systemNumber>-57</systemNumber>
<subsection type="systemName">International Program Oversight Database (International--POD).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of International Affairs, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Foreign and domestic contacts for Enforcement workload/Commission and foreign requests; foreign and domestic contacts for policy requests; Foreign officials trained in SEC Headquarters; Chairmen, CEOs, and Presidents of foreign regulators and stock exchanges; SEC staff traveling overseas; and information on vendors providing support for SEC’s technical assistance program and individuals entitled to USAID reimbursements.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Contact information of individuals related to Enforcement cases and policy requests. Contact information of international institute foreign officials trained in SEC Headquarters; Contact information for Chairmen, CEOs, and Presidents of foreign regulators and stock exchanges; SEC staff traveling overseas; and information on vendors providing support for SEC’s technical assistance program and individuals entitled to USAID reimbursements.
</p><p>Correspondence relevant to the matter, internal staff memoranda, Commission Minutes and Commission Orders, working papers of the staff and other documents and records relating to the matter, opening reports, progress reports and closing reports, miscellaneous records relating to cross-border investigations or litigation and other international enforcement and regulatory matters.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Tracks data gathered by the Office of International Affairs with respect to processing (1) requests for enforcement cooperation with foreign regulators and law enforcement agencies; (2) international regulatory policy matters designed to protect investors, improve market efficiency, and eliminate opportunities for "regulatory arbitrage"; (3) technical assistance and international training programs for emerging securities markets; (4) directory of contacts for foreign regulators and stock exchanges; (5) SEC staff foreign travel; and (6) USAID Reimbursement.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the SEC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To coordinate law enforcement activities between the SEC and other federal, state, local or foreign law enforcement agencies, securities self-regulatory organizations, and foreign securities authorities.
</p><p>3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred to the appropriate agency, whether federal, state, or local, a foreign governmental authority or foreign securities authority, or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute or rule, regulation or order issued pursuant thereto.
</p><p>4. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>5. To respond to inquiries from Members of Congress, the press and the public which relate to specific matters that the Commission has investigated and to matters under the Commission’s jurisdiction.
</p><p>6. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format and paper form. Electronic records are stored in computerized databases. Paper records are stored in locked file rooms or metal file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data are retrievable by the individual’s name or other identifier, such as case number, name, as well as non-identifying information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Office of International Affairs, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1004.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information contained in this system is obtained from enforcement requests related to an SEC investigation; international institute training programs; foreign regulators and stock exchanges; SEC travel records; and USAID reimbursable programs.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec58" toc="yes">
<systemNumber>-58</systemNumber>
<subsection type="systemName">System for Enforcement Case Tracking and Routing (SECTR).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission’s Regional Offices that conducted an investigation or litigation, or at a records management company under contract with the Commission. Closed investigatory files are stored at a federal records center.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Records are maintained on persons who have been involved in Commission investigations or litigation, or in activities which violated or may have violated federal, state or foreign laws relating to transactions in securities, the conduct of securities business or investment advisory activities, and banking or other financial activities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence relevant to the matter, internal staff memoranda, Commission Orders, settlement offers, Wells submissions, sworn financial statements, affidavits, transcripts of testimony, copies of pleadings, documents and other evidence obtained in the course of the matter, computerized records, working papers of the staff, and other documents and records relating to the matter.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The purpose of this system of records is to create and maintain an electronic database of enforcement matters reviewed and comments provided by staff of the Division of Trading and Markets to the Division of Enforcement; and to maintain a record of communications within the Division of Trading and Markets relating to the enforcement matters reviewed.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the SEC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies, and to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.
</p><p>3. In connection with their regulatory and enforcement responsibilities mandated by the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), or state or foreign laws regulating securities or other related matters, records may be disclosed to national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory law enforcement agencies of a foreign government, or foreign securities authority.
</p><p>4. To any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>5. Inclusion in reports published by the Commission pursuant to authority granted in the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)).
</p><p>6. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>7. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the federal securities laws.
</p><p>8. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>9. To respond to inquiries from Members of Congress, the press and the public which relate to specific matters that the Commission has investigated and to matters under the Commission’s jurisdiction.
</p><p>10. To prepare and publish information relating to violations of the federal securities laws as provided in 15 U.S.C. 78c(a)(47).
</p><p>11. To respond to subpoenas in any litigation or other proceeding.
</p><p>12. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format, paper form and other media. Electronic records are stored in computerized databases. Paper and other media records are stored in locked file rooms or metal file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records can be retrieved by the case number or case name (as designated by the Division of Enforcement), or by the name of an involved party related to the investigation being conducted or the administrative proceeding or civil action filed.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Office of Enforcement Liaison and Institutional Trading, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-6628.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in these records is supplied by other offices within the Commission; correspondence relating to litigation; pleadings in administrative proceedings; and other documents, including evidence entered in such proceedings.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec59" toc="yes">
<systemNumber>-59</systemNumber>

<subsection type="systemName">Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; and Office of Financial Responsibility Log.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Representatives of regulated entities and their counsel, members of the public, representatives of other governmental agencies or Congress, and others who submit inquiries, information, comments, or other forms of communication to the Commission’s Division of Trading and Markets’ Office of Interpretation and Guidance, Office of Broker-Dealer Finances, or Office of Financial Responsibility, respectively, or who address their communications to other Division or Commission staff or offices that make a referral to, or consult with, the Division of Trading and Markets’ Office of Interpretation and Guidance, Office of Broker-Dealer Finances, or Office of Financial Responsibility, respectively, or related staff.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both electronic and paper records in this system may include the name of the inquirer/requester/commenter/communicant or their representative, the name of the entity if available, the subject of the inquiry/request/comment or communication, the date of the inquiry/request/comment or communication, and the staff response provided or other disposition. Paper records may include, but are not limited to, letters of inquiry/request/comment or communications, responses, and related documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 78a <i>et seq.</i> and 17 CFR 202.1 to 202.10.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used by the staff to track and process inquiries/requests/comments and communications from members of the public, industry representatives, counsel, and others.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the SEC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To respond to inquiries from the White House, Congressional committees or offices, the General Accountability Office, General Services Administration or the National Archives and Records Administration, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>3. To provide information to other federal or state government agencies, or securities self-regulatory organizations which have direct jurisdiction over the subject matter of the inquiry/request/comment or communication.
</p><p>4. As a data source for the production of summary statistics and analytical studies in support of the function for which the records are collected and maintained or for statistics relating to personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>5. To coordinate with or assist in law enforcement and regulatory activities of the Commission and other federal, state, local, or foreign law enforcement or regulatory agencies, securities self-regulatory organizations, and foreign securities authorities.
</p><p>6. To respond to a subpoena, court order, or request for discovery, in connection with any relevant litigation or proceeding where the federal securities laws are at issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>7. To provide information to a federal, state, local, or foreign government or foreign securities authority, in response to its request, in connection with civil, criminal, or other enforcement information, the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>8. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.
</p><p>9. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format, and paper form. Electronic records are stored in computerized databases. Paper records are stored in locked file rooms or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the following: Individual name, receipt date, entity name if provided, telephone number or e-mail address if provided, the subject matter, or other indexed information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Associate Director, Office of Broker-Dealer Finances, and Senior Special Counsel, Office of Interpretation and Guidance, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7561.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information collected is received from individuals primarily through telephone calls, e-mails, facsimiles, or letters to the Division of Trading and Markets or other Commission offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>
<section id="sec60" toc="yes">
<systemNumber>-60</systemNumber>
<subsection type="systemName">Ethics Conduct Rules Files.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>SEC Members and employees, past and present.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Information relating to the SEC’s "Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission" ("Ethics Conduct Rules"), currently located at 17 CFR Part 200 Subpart M, including outside employment and activities, and covered securities transactions, securities holdings and securities accounts.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Federal securities laws (15 U.S.C. 77s, 78w, 77sss, 80a-37 and 80b-11) and the regulations promulgated thereunder, including the Ethics Conduct Rules currently located at 17 CFR Part 200 Subpart M.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For use by authorized SEC Ethics Office personnel, designated by the Ethics Counsel, and from time to time certain other SEC personnel, designated by the Ethics Counsel in his or her discretion, in connection with their official functions related to administering and supervising compliance with the Commission’s Ethics Conduct Rules.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of a violation or potential violation of law or regulation;
</p><p>2. To a court or party in a court or Federal administrative proceeding if the Government is a party or in order to comply with a judge-issued subpoena;
</p><p>3. To a source when necessary to obtain information relevant to a conflict of interest or securities law investigation or decision;
</p><p>4. To the National Archives and Records Administration or the General Services Administration in records management inspections;
</p><p>5. To the Office of Management and Budget during legislative coordination on private relief legislation;
</p><p>6. To the Department of Justice or in certain legal proceedings when the disclosing agency, and employee of the disclosing agency, or the United States is a party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation;
</p><p>7. To reviewing officials in a new office, department or agency when an employee transfers from one position to another subject to the Ethics Conduct Rules;
</p><p>8. To a Member of Congress or a congressional office in response to an inquiry made on behalf of an individual who is the subject of the record;
</p><p>9. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a;
</p><p>10. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Commission has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Commission or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the Commission’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm; and
</p><p>11. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or metal file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by the individual’s name or other personal identifiers, as well as non-identifying information. Information regarding individuals may be obtained through the use of cross-reference methodology.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Paper records are maintained in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Computerized records are safeguarded through use of access codes and information technology security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained for 6 years or otherwise in accordance with records schedules of the Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>The Ethics Counsel and the Designated Agency Ethics Official, Office of the General Counsel, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1050.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information is provided by current Members and employees of the Commission or their designees in accordance with the requirements of the SEC Ethics Conduct Rules.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec61" toc="yes">
<systemNumber>-61</systemNumber>
<subsection type="systemName">Municipal Advisor Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Securities and Exchange Commission ("Commission" or "SEC") 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>This system of records covers applicants for registration or exemption from registration as Municipal Advisors, current and former registrants, and individuals having a relationship with or a transaction with a registrant including: partners, officers, directors, associated persons, control persons, control affiliates, employees, owners, principal shareholders, and other related persons or entities; and their representatives or counsel.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both electronic and paper records in this system may include: name, business address, residential address (for sole proprietor only), telephone/cellular/facsimile number, e-mail address, Web site or Internet address, IRS employer identification number, IA SEC File Number, Broker Dealer SEC File Number, CRD Number, areas of business, other SEC registrations, SRO memberships, and related information; past and present employment; disciplinary history; business relationships; and similar information relating to the categories of individuals covered by the system. Paper records may include, but are not limited to, application and other forms, records, or documents relating to registration; letters, facsimiles, imaged documents, and other forms of written communication; and related documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 975(a), Pub. L. 111-203 (2010); 15 U.S.C. 78a <i>et seq.;</i> 80b-1 <i>et seq.;</i> and 17 CFR 202.1 to 202.10.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used by authorized staff to review and process applications for registration or exemption as Municipal Advisors; with respect to the regulation and oversight of registrations and registrants and their associated or related persons as stated in the section relating to Categories of Individuals Covered by the System; to maintain and disclose in accordance with statutory or regulatory provisions records relating to such applications, registrations, registrants, and associated or related persons; and to implement and administer the federal securities laws and rules.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other federal, state, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the federal securities laws.
</p><p>5. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, state accountancy board, or other federal, state, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a federal, state, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a federal, state, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended,
5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the federal securities laws as provided in 15 U.S.C. 78c(a)(47), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To members of Congress, the General Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>23. To any governmental agency, governmental or private collection agent, consumer reporting agency or commercial reporting agency, governmental or private employer of a debtor, or any other person, for collection, including collection by administrative offset, federal salary offset, tax refund offset, or administrative wage garnishment, of amounts owed as a result of Commission civil or administrative proceedings.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the following: Name, address, receipt date, entity name, registration number, telephone/cellular/facsimile number, email or Internet address, subject matter, or other indexed information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Apart from information publicly disclosed pursuant to statutory or regulatory provisions, access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7561.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information collected is received primarily from applicants for registration or exemption from registration, current and former registrants, and partners, officers, directors, associated persons, control persons, control affiliates, employees, owners, principal shareholders, other related persons or entities, members of the public, and their representatives or counsel, via form, correspondence, or other written or verbal forms of communication, including without limitation telephone calls, emails and other forms of electronic communication, letters, or facsimiles to the Commission and SEC staff.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec62" toc="yes">
<systemNumber>-62</systemNumber>
<subsection type="systemName">Correspondence Files Pertaining to Municipal Advisors; Municipal Advisor Logs.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>U.S. Securities and Exchange Commission ("Commission" or "SEC") 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons applying for registration or exemption from registration as a Municipal Advisor, persons currently or formerly registered with the Commission as a Municipal Advisor, and their partners, officers, directors, associated persons, control persons, control affiliates, employees, owners, principal shareholders, other related persons, and their representatives or counsel; and representatives of regulated entities and their counsel, members of the public, representatives of other governmental agencies or Congress, and others who submit correspondence, inquiries, information, comments, or other forms of communication to the Commission or SEC staff relating to Municipal Advisors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both electronic and paper records in this system may include information concerning an individual’s activities, transactions, and disciplinary history as or pertaining to, or relationships with, a Municipal Advisor; the name of the correspondent or inquirer/requester/commenter/communicant or their representative; the name, residential and/or business address, telephone/cellular/facsimile number, and email or Internet address of the correspondent or entity; the subject of the correspondence, inquiry/request/comment or communication; the date of the correspondence, inquiry/request/comment or communication; and the Commission or SEC staff response provided, or other disposition, on a formal or informal basis. Paper records may include, but are not limited to, letters, facsimiles, imaged documents, other written forms of communication, and related documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Dodd-Frank Wall Street Reform and Consumer Protection Act, Section 975(a), Public Law 111-203 (2010); 15 U.S.C. 78a <i>et seq.;</i> 80b-1 <i>et seq.;</i> and 17 CFR 202.1 to 202.10.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used by authorized SEC staff to track, process, respond to, and maintain documentation of correspondence, inquiries/requests/comments, communications, and related information from members of the public, including industry representatives, counsel, and others, relating to Municipal Advisors; to document Commission or SEC staff responses on a formal or informal basis.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other federal, state, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the federal securities laws.
</p><p>5. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, state accountancy board, or other federal, state, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a federal, state, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a federal, state, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the federal securities laws as provided in 15 U.S.C. 78c(a)(47), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To members of Congress, the General Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>23. To any governmental agency, governmental or private collection agent, consumer reporting agency or commercial reporting agency, governmental or private employer of a debtor, or any other person, for collection, including collection by administrative offset, federal salary offset, tax refund offset, or administrative wage garnishment, of amounts owed as a result of Commission civil or administrative proceedings.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by any of the following: name, receipt date, entity name, registration number, telephone/cellular/facsimile number, email or Internet address, subject matter, or other indexed information.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7561.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information collected is received from individuals primarily through correspondence or other written or verbal forms of communication, including without limitation telephone calls, emails and other forms of electronic communication, letters, or facsimiles to the Commission and SEC staff.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>
<section id="sec63" toc="yes">
<systemNumber>-63</systemNumber>
<subsection type="systemName">Tips, Complaints, and Referrals (TCR) Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission’s Regional Offices that conducted an investigation or litigation.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>(1) Individuals that submit tips, complaints, or related information about actual or potential violations of the Federal securities laws; investor harm; conduct of public companies, securities professionals, regulated entities, and associated persons; and internal and external referrals of misconduct; (2) Individuals that are the subjects of a tip or complaint related to an actual or potential securities law violation; (3) Attorneys or other related individuals; and (4) SEC personnel or contractors assigned to handle such tips, complaints, and referrals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may include individual names; dates of birth; social security numbers; addresses; telephone numbers; tip, complaint, and referral information including allegation descriptions, dates, and supporting details; supporting documentation; web forms; e-mails; criminal history; working papers of the staff; and other documents and records relating to the matter.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77a <i>et seq.,</i> 78a <i>et seq.,</i> 80a-1 <i>et seq.,</i> 80b-1 <i>et seq.,</i> and 5 U.S.C. 302.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>For use by authorized SEC personnel in receiving, recording, assigning, tracking, and taking action on tips, complaints, and referrals received from individuals and entities related to actual or potential violations of the Federal securities laws; investor harm; or conduct of public companies, securities professionals, regulated entities and associated persons.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the Federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the Federal securities laws.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, state accountancy board, or other Federal, State, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a Federal, State, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a Federal, State, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a)).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the Federal securities laws as provided in 15 U.S.C. 78c(a)(47)), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To members of Congress, the General Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records may be retrieved by an individual’s or entity’s name, receipt date, subject matter, keywords that may include personal information, and/or other personal identifier. The system will also enable authorized SEC personnel to search for and retrieve records using conventional methods including but not limited to the use of unique record identifiers, keyword searches, geographic data (e.g. zip code), date and time searches, and sorts and filters.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in these records may be supplied by investors and the general public, Commission-regulated entities including broker-dealers, investment advisers, self-regulatory organizations, other government agencies, and foreign regulators.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled for law enforcement purposes. This exemption is contained in 17 CFR 200.312(a)(1).
</p></xhtmlContent></subsection></section>
<section id="sec64" toc="yes">
<systemNumber>-64</systemNumber>
<subsection type="systemName">SEC Security in the Workplace Incident Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Past and present employees, interns, and volunteers of the Securities and Exchange Commission (employees), contractors, visitors, and others who have access to SEC facilities who report potential or actual workplace violence; persons accused of threatening to commit, or committing workplace violence, and persons interviewed or investigated in connection with reports or allegations of potential or actual workplace violence.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>These records include, but are not limited to: Case number, victim’s name, office telephone number, room number, office/division, duty station, position, supervisor, supervisor’s telephone number, location of incident, activity at time of incident, circumstances surrounding the incident, perpetrator, name(s) and telephone number(s) of witness(es), injured party(s), medical treatment(s), medical report, property damages, report(s) to police, and related information needed to investigate violence, threats, harassment, intimidation, or other inappropriate behavior causing SEC employees, contractors, or other individuals to fear for their personal safety in the SEC workplace.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7902(d) and (e).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used by SEC personnel to take action on, or to respond to a complaint about a threat, harassment, intimidation, violence, or other inappropriate behavior involving one or more SEC employees, contractors, interns, or other individuals against an SEC employee; and to make assessments of violent or potentially violent situations and then make recommendations regarding interventions for those persons involved with the situations.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) It is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. When a person or property is harmed, or when threats of harm to a person or property are reported, disclosure will be made, as appropriate, to law enforcement authorities, medical treatment authorities, and those persons being threatened or harmed.
</p><p>3. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign securities authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>4. To a bar association, a state accountancy board, the Public Company Accounting Oversight Board, or any similar Federal, State, or local licensing authority for possible disciplinary action.
</p><p>5. To a Federal, State, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>6. To a Federal, State, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>7. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>8. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>9. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>10. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>11. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>12. To a Congressional office in response to an inquiry from that Congressional office made at the request of the individual to whom the record pertains.
</p><p>13. To respond to subpoenas in any litigation or other proceeding.
</p><p>14. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc in accordance with all appropriate laws. Paper records are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name or case designation (those who reported a violent or potentially violent event and those who were reported), event date, and event location.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Paper records are maintained in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Computerized records are safeguarded through use of access codes and information technology security.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief, SEC Security Branch, 100 F Street, NE., Washington, DC 20549-5100
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record Access Procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Records source is from individuals who report potential or actual workplace security incidents, and reports made on individuals interviewed or investigated in connection with allegations of potential or actual workplace security incidents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled for law enforcement purposes. This exemption is contained in 17 CFR 200.312(a)(1).
</p></xhtmlContent></subsection></section>
<section id="sec65" toc="yes">
<systemNumber>-65</systemNumber>
<subsection type="systemName">Investor Response Information System (IRIS).
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Also, records covered by Subsystem A are received by and maintained in the Commission’s Regional Offices, whose addresses are listed below under System Manager(s) and Address.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Subsystem A: Records are maintained on members of the public and others who submit inquiries or make complaints to the Commission, generally, or to Divisions and Offices of the Commission or who contact the Office of Investor Education and Advocacy (OIEA) or the Commission’s Regional Offices.
</p><p>Subsystem B: Records are maintained on members of the public, members of Congress or their staff, and others who address their inquiries or complaints to the Commission’s Chairman or the Office of Legislative and Intergovernmental Affairs.
</p><p>Subsystem C: Records are maintained on members of the public who submit requests for copies of, or review of records accessible through the Commission’s Public Reference Room.
</p><p>Subsystem D: Computerized records are comprised of data collected in all of the above subsystems.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Both electronic and paper records in this system/subsystems may contain the name of the complainant/inquirer/requester or their representative, the name of the entity and/or subject of the complaint/inquiry/request, the date relating to the receipt and disposition of the complaint/inquiry/request and, where applicable, the type of complaint/inquiry/request and other information derived from or relating to the complaint/inquiry/request. Paper records may include, but are not limited to, letters of complaint/inquiry/request, responses, and related documentation.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>15 U.S.C. 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 78ll(d), 79t, 80a-37, and 80b-11.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records will be used by the staff to track and process complaints/inquiries/requests from members of the public and others.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To other Federal, State, local, or foreign law enforcement agencies; securities self-regulatory organizations; and foreign financial regulatory authorities to assist in or coordinate regulatory or law enforcement activities with the SEC.
</p><p>3. To national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board; the Securities Investor Protection Corporation; the Public Company Accounting Oversight Board; the Federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; state securities regulatory agencies or organizations; or regulatory authorities of a foreign government in connection with their regulatory or enforcement responsibilities.
</p><p>4. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the Federal securities laws.
</p><p>5. In any proceeding where the Federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.
</p><p>6. In connection with proceedings by the Commission pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
</p><p>7. To a bar association, state accountancy board, or other Federal, State, local, or foreign licensing or oversight authority; or professional association or self-regulatory authority to the extent that it performs similar functions (including the Public Company Accounting Oversight Board) for investigations or possible disciplinary action.
</p><p>8. To a Federal, State, local, tribal, foreign, or international agency, if necessary to obtain information relevant to the SEC’s decision concerning the hiring or retention of an employee; the issuance of a security clearance; the letting of a contract; or the issuance of a license, grant, or other benefit.
</p><p>9. To a Federal, State, local, tribal, foreign, or international agency in response to its request for information concerning the hiring or retention of an employee; the issuance of a security clearance; the reporting of an investigation of an employee; the letting of a contract; or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency’s decision on the matter.
</p><p>10. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be used to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.
</p><p>11. To any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100-900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.1100-1106, or otherwise, where such trustee, receiver, master, special counsel, or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission’s Rules of Practice or the Rules of Fair Fund and Disgorgement Plans.
</p><p>12. To any persons during the course of any inquiry, examination, or investigation conducted by the SEC’s staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.
</p><p>13. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>14. In reports published by the Commission pursuant to authority granted in the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a)).
</p><p>15. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.
</p><p>16. To any person who is or has agreed to be subject to the Commission’s Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of the Federal securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission’s enforcement or regulatory functions under the Federal securities laws.
</p><p>17. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.
</p><p>18. To members of Congress, the press, and the public in response to inquiries relating to particular Registrants and their activities, and other matters under the Commission’s jurisdiction.
</p><p>19. To prepare and publish information relating to violations of the Federal securities laws as provided in 15 U.S.C. 78c(a)(47)), as amended.
</p><p>20. To respond to subpoenas in any litigation or other proceeding.
</p><p>21. To a trustee in bankruptcy.
</p><p>22. To members of Congress, the General Accountability Office, or others charged with monitoring the work of the Commission or conducting records management inspections.
</p><p>23. To respond to inquiries from individuals who have submitted complaints/inquiries/request, or from their representatives.
</p><p>24. To entities against which complaints/inquiries/requests are directed when Commission staff requests them to research the issues raised and report back to the staff.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in file rooms and/or file cabinets, as well as off-site locations including the Federal Records Center, pursuant to applicable record retention guidelines.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By use of the computerized records in Subsystem D, the files (both paper and electronic) in Subsystems A, B, and C are retrievable by the name, receipt date, name of the registered representative or associated person named in the complaint/inquiry/request, or the name of the entity/issuer that is the subject of the complaint/inquiry/request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. The records are kept in limited access areas during duty hours and in file cabinets and/or offices or file rooms at all other times. Computerized records are safeguarded through use of access codes and information technology security. Contractors and other recipients providing services to the Commission are contractually obligated to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Subsystem A: Chief Counsel, Office of Investor Education and Advocacy, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549; New York Regional Office, Regional Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022; Boston Regional Office, Regional Director, 33 Arch Street, 23rd Floor, Boston, MA 02110-1424; Philadelphia Regional Office, Regional Director, The Mellon Independence Center, 701 Market Street, Suite 2000, Philadelphia, PA 19106-1532; Miami Regional Office, Regional Director, 801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901, Atlanta Regional Office, Regional Director, 3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232; Chicago Regional Office, Regional Director, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908; Denver Regional Office, Regional Director, 1801 California Street, Suite 1500, Denver, CO 80202-2656; Fort Worth Regional Office, Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882; Salt Lake Regional Office, Regional Director, 15 West South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573; Los Angeles Regional Office, Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648; San Francisco Regional Office, Regional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716.
</p><p>Subsystem B: Office of the Chairman, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p><p>Subsystem C: Records Officer, Office of Records Management Services, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.
</p><p>Subsystem D: Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, Operations Center, Mail Stop 0-4, 6432 General Green Way, Alexandria, VA 22312.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information collected in all subsystems is received from individuals primarily through letters, telephone calls, or personal visits to the Commission’s offices.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Under 5 U.S.C. 552a(k)(2), this system of records is exempted from the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled for law enforcement purposes. This exemption is contained in 17 CFR 200.312(a)(1).
</p></xhtmlContent></subsection></section>
<section id="sec66" toc="yes">
<systemNumber>-66</systemNumber>
<subsection type="systemName">Backup Care Employee and Family Records.
</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Bright Horizons Family Solutions, 200 Talcott Avenue, Watertown, MA 02472. Records may also be maintained at subcontracted
childcare center locations. Electronic Reports of SEC employees’ registrations and uses are maintained at the Securities and Exchange
Commission, 100 F Street NE., Washington, DC 20549.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current SEC employees who voluntarily sign up for backup care benefits and their family members for whom care is needed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records may contain employee’s name, work address, work phone number, work email address, home address and home phone number;
family member’s name, gender, home address, and date of birth; and Caregiver’s name.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>40 U.S.C. 590.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The records are used to determine an employee’s eligibility to request backup care benefits for family members.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information
contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as follows:
</p><p>1. To appropriate agencies, entities, and persons when (a) it is suspected or confirmed that the security or confidentiality of
information in the system of records has been compromised; (b) the SEC has determined that, as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity
of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the
compromised information; and (c) the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in
connection with the SEC’s efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.
</p><p>2. To produce summary descriptive statistics and analytical studies, as a data source for management information, in support of
the function for which the records are collected and maintained or for related personnel management functions or manpower studies;
may also be used to respond to general requests for statistical information (without personal identification of individuals) under
the Freedom of Information Act.
</p><p>3. To interns, grantees, experts, contractors, and others who have been engaged by the Commission to assist in the performance of
a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the
efficient administration of its programs, including by performing clerical, stenographic, or data analysis functions, or by
reproduction of records by electronic or other means. Recipients of these records shall be required to comply with the requirements
of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p><p>4. To a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the
request of that individual.
</p><p>5. To members of Congress, the Government Accountability Office, or others charged with monitoring the work of the Commission or
conducting records management inspections.
</p><p>6. To a commercial contractor in connection with benefit programs administered by the contractor on the Commission’s behalf,
including, but not limited to, supplemental health, dental, disability, life and other benefit programs. Recipients of these records
shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Records are maintained in electronic format. Electronic records are stored in computerized databases and/or on computer disc.
Paper records and records on computer disc are stored in locked file rooms and/or file cabinets.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by the individual’s name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Records are safeguarded in a secured environment. The records are kept in limited access areas and/or locked offices or file rooms
at all other times. Computerized records are safeguarded through use of access codes and information technology security. Access is
limited to those personnel whose official duties require access. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with
records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records
Administration. </p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, 100 F Street NE., Washington, DC
20549-3901.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p>All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed
to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p>Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may
contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-2736.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p>See Record access procedures above.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>All information is provided by SEC employees registering for the services.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<previousPubs id="systems" toc="yes">
<title>Systems of Records Published Between January 3, 2012 and December 31, 2013</title>
</previousPubs>
<regulations id="reg" toc="yes">
<regulationsTitle number="17">
<heading> Commodity and Securities Exchanges </heading>
<regulationsChapter number="II">
<heading> Securities and Exchange Commission </heading>
<regulationsPart number="200">
<heading> ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS </heading>
<xhtmlContent>
<p><b>Subpart H--Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission</b></p>
<p>Sec.
</p>
<p>200.301 Purpose and scope.
</p>
<p>200.302 Definitions.
</p>
<p>200.303 Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.
</p>
<p>200.304 Disclosure of requested records.
</p>
<p>200.305 Special procedure: Medical records.
</p>
<p>200.306 Requests for amendment or correction of records.
</p>
<p>200.307 Review of requests for amendment or correction.
</p>
<p>200.308 Appeal of initial adverse agency determination as to access or as to amendment or correction.
</p>
<p>200.309 General provisions.
</p>
<p>200.310 Fees.
</p>
<p>200.311 Penalties.
</p>
<p>200.312 Specific exemptions.
</p>
<p>200.313 Inspector General exemptions.
</p>
<p><b>Editorial Note:</b></p>
<p>At 75 FR 47449, Aug. 6, 2010, the general authority citation for part 200 was revised; however, the amendment could not be incorporated due to inaccurate amendatory instruction.
</p>
<p>Editorial Note:</p>
<p>At 76 FR 57637, Sept. 16, 2011, the authority citation for part 200 was amended by adding an authority for &#167; 200.312; however, this amendment could not be incorporated.
</p>
<p><b>Subpart H--Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission
</b>
</p>
<p><b>Authority:</b> 5 U.S.C. 552a(f), unless otherwise noted.
</p>
<p>Section 200.312 is also issued under Pub. L. 93-579, sec. k, 5 U.S.C. 552a(k).
</p>
<p>Section 200.313 is also issued under Pub. L. 93-579, sec. j, 5 U.S.C. 552a(j) and sec. k, 5 U.S.C. 552a(k).
</p>
<p><b>Source:</b> 40 FR 44068, Sept. 24, 1975, unless otherwise noted.

</p>
<p><b>&#167; 200.301 Purpose and scope.
</b></p>
<p>(a) The Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896, is based, in part, on the finding by Congress that “in order to protect the privacy of individuals identified in information systems maintained by Federal agencies, it is necessary and proper for the Congress to regulate the collection, maintenance, use, and dissemination of information by such agencies.” To achieve this objective the Act, among other things, provides, with some exceptions, that Federal agencies shall advise an individual upon request whether records maintained by the agency in a system of records pertain to the individual and shall grant the individual access to such records. The Act further provides that individuals may request amendments or corrections to records pertaining to them that are maintained by the agency, and that the agency shall either grant the requested amendments or set forth fully its reasons for refusing to do so.
</p>
<p>(b) The Securities and Exchange Commission, pursuant to subsection (f) of the Privacy Act, adopts the following rules and procedures to implement the provisions of the Act summarized above, and other provisions of the Act. These rules and procedures are applicable to all requests for information, access or amendment to records pertaining to an individual that are contained in any system of records that is maintained by the Commission.

</p>
<p><b>&#167; 200.302 Definitions.
</b></p>
<p>The following definitions shall apply for purposes of this subpart:
</p>
<p>(a) The terms <i>individual, maintain, record, system of records,</i> and <i>routine use</i> are defined for purposes of these rules as they are defined in 5 U.S.C. 552a(a)(2), (a)(3), (a)(4), (a)(5), and (a)(6).
</p>
<p>(b) <i>Commission</i> means the Securities and Exchange Commission.

</p>
<p><b>&#167; 200.303 Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.</b></p>
<p>(a) <i>Place to make request.</i> Any request by an individual to be advised whether any system of records maintained by the Commission and named by the individual contains a record pertaining to him or her, or any request by an individual for access to a record pertaining to him or her that is contained in a system of records maintained by the Commission, shall be submitted by mail to the Office of Freedom of Information and Privacy Act Operations, SEC, 100 F Street, NE., Washington, DC 20549, or by facsimile (202-772-9337). All requests will be required to be put in writing and signed by the individual making the request. In the case of requests for access that are made by mail, the envelope should be clearly marked “Privacy Act Request.”
</p>
<p>(1) <i>Information to be included in requests.</i> Each request by an individual concerning whether the Commission maintains in a system of records a record that pertains to him, or for access to any record pertaining to the individual that is maintained by the Commission in a system of records, shall include such information as will assist the Commission in identifying those records as to which the individual is seeking information or access. Where practicable, the individual should identify the system of records that is the subject of his request by reference to the Commission’s notices of systems of records, which are published in the <i>Federal Register,</i> as required by section (e)(4) of the Privacy Act, 5 U.S.C. 552a(e)(4). Where a system of records is compiled on the basis of a specific identification scheme, the individual should include in his request the identification number or other identifier assigned to him. In the event the individual does not know the specific identifier assigned to him, he shall provide other information, including his full name, address, date of birth and subject matter of the record, to aid in processing his request. If additional information is required before a request can be processed, the individual shall be so advised.
</p>
<p>(2) <i>Verification of identity.</i> When the fact of the existence of a record is not required to be disclosed under the Freedom of Information Act, 5 U.S.C. 552, as amended, or when a record as to which access has been requested is not required to be disclosed under that Act, the individual seeking the information or requesting access to the record shall be required to verify his or her identity before access will be granted or information given. For this purpose, individuals shall appear at the Office of Freedom of Information and Privacy Act Operations, SEC, 100 F Street, NE., Washington, DC 20549, during normal business hours of 9 a.m. to 5:30 p.m. E.S.T., Monday through Friday, or at one of the Commission’s Regional Offices. The addresses and business hours of those offices are listed below:

</p>
<p>Atlanta Regional Office--3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232. Office hours--9 a.m. to 5:30 p.m. E.T.
</p>
<p>Boston Regional Office--33 Arch Street, 23rd Floor, Boston, MA 02110-1424. Office hours--9 a.m. to 5:30 p.m. E.T.
</p>
<p>Chicago Regional Office--175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908. Office hours--8:45 a.m. to 5:15 p.m. C.T.
</p>
<p>Denver Regional Office--1801 California Street, Suite 1500, Denver, CO 80202-2656. Office hours--8 a.m. to 4:30 p.m. M.T.
</p>
<p>Fort Worth Regional Office--Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882. Office hours--8:30 a.m. to 5 p.m. C.T.
</p>
<p>Los Angeles Regional Office--5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648. Office hours--8:30 a.m. to 5 p.m. P.T.
</p>
<p>Miami Regional Office--801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901. Office hours--9 a.m. to 5:30 p.m. E.T.
</p>
<p>New York Regional Office--3 World Financial Center, Suite 400, New York, NY 10281-1022. Office hours--9 a.m. to 5:30 p.m. E.T.
</p>
<p>Philadelphia Regional Office--701 Market Street, Suite 2000, Philadelphia, PA 19106-1532. Office hours--9 a.m. to 5:30 p.m. E.T.
</p>
<p>Salt Lake City Regional Office--15 W. South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573. Office hours--8 a.m. to 4:30 p.m. M.T.
</p>
<p>San Francisco Regional Office--44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716. Office hours--8:30 a.m. to 5 p.m. P.T.
</p>
<p>None of the Commission’s offices is open on Saturday, Sunday or the following legal holidays: New Year’s Day, Martin Luther King, Jr.’s Birthday, Presidents’ Day, Memorial Day, Independence Day, Labor Day, Veterans’ Day, Columbus Day, Thanksgiving Day, and Christmas Day.
</p>
<p>(3) <i>Methods for verifying identity--appearance in person.</i> An individual seeking information as to records pertaining to him or access to those records shall furnish documentation that may reasonably be relied on to establish the individual’s identity. Such documentation might include a valid birth certificate, driver’s license, employee or military identification card, or medicare card.
</p>
<p>(4) <i>Method for verifying identity by mail.</i> Where an individual cannot appear at one of the Commission’s Offices to verify his or her identity, he or she must submit, along with the request for information or access, a statement attesting to his or her identity. Where access is being sought, the statement shall include a representation that the requested records pertain to the individual and a statement that the individual is aware that knowingly and willfully requesting or obtaining records pertaining to an individual from the Commission under false pretenses is a criminal offense. This statement shall be a sworn statement, or in lieu of a sworn statement, an individual may submit an unsworn statement to the same effect if it is signed by him or her as true under penalty of perjury, dated, and in substantially the following form:
</p>
<p>(i) If executed outside the United States: “I declare (or certify, verify, or state) under penalty of perjury under the laws of the United States of America that the foregoing is true and correct.”
</p>
<p>Executed on (date)____
</p>
<p>(Signature)
</p>
<p>(ii) If executed within the United States, its territories, possessions, or commonwealths: “I declare (or certify, verify, or state) under penalty of perjury that the foregoing is true and correct.”
</p>
<p>Executed on (date)____
</p>
<p>(Signature)
</p>
<p>(5) <i>Additional procedures for verifying identity.</i> When it appears appropriate, there may be made such other arrangements for the verification of identity as are reasonable under the circumstances and appear to be effective to prevent unauthorized disclosure of, or access to, individual records.
</p>
<p>(b) <i>Acknowledgement of requests for information pertaining to individual records in a record system or for access to individual records.</i> (1) Except where an immediate acknowledgement is given for requests made in person, the receipt of a request for information pertaining to individual records in a record system will be acknowledged within 10 days after the receipt of such request. Requests will be processed as promptly as possible and a response to such requests will be given within 30 days (excluding Saturdays, Sundays, and legal holidays) unless, within the 30 day period and for cause shown, the individual making the request is notified in writing that a longer period is necessary.
</p>
<p>(2) When an individual appears in person at the Office of Freedom of Information and Privacy Act Operations, SEC, 100 F Street, NE., Washington, DC 20549, or at one of its Regional Offices to request access to records pertaining to him, and such individual provides the required information and verification of identity, the Commission’s staff, if practicable, will indicate at that time whether it is likely that the individual will be given access to the records and, if so, when and under what circumstances such access will be given. In the case of requests received by mail, whenever practicable, acknowledgement of the receipt of the request will be given within 10 days after receipt (excluding Saturdays, Sundays, and legal holidays). The acknowledgement will indicate, if practicable, whether or not access likely will be granted and, if so, when and under what circumstances.
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 41 FR 44698, Oct. 12, 1976; 47 FR 26819, June 22, 1982; 52 FR 2677, Jan. 26, 1987; 54 FR 40862, Oct. 4, 1989; 54 FR 50307, Dec. 5, 1989; 59 FR 5945, Feb. 9, 1994; 59 FR 12543, Mar. 17, 1994; 65 FR 55185, 55186, Sept. 13, 2000; 73 FR 32225, June 5, 2008]

</p>
<p><b>&#167; 200.304 Disclosure of requested records.
</b></p>
<p>(a) <i>Initial review.</i> Requests by individuals for access to records pertaining to them will be referred to the Commission’s Privacy Act Officer who initially will determine whether access will be granted, <i>Provided, however,</i> That a Director of a staff Division of the Commission or Office head, other than the General Counsel, whose zone of responsibility relates to the record requested (see 17 CFR 200.13 <i>et seq.</i>), may make a determination that access is not lawfully required to be granted and should not be granted, in which case he, and not the Privacy Act Officer, shall make the required notification to the individual making the request.
</p>
<p>(b) <i>Grant of request for access.</i> (1) If it is determined that a request for access to records pertaining to an individual will be granted, the individual will be advised by mail that access will be given at the designated Office of the Commission or a copy of the requested record will be provided by mail if the individual shall so indicate. Where the individual requests that copies of the record be mailed to him or requests copies of a record upon reviewing it at a Commission Office, the individual shall pay the cost of making the requested copies, as set forth in &#167; 200.310 of this subpart.
</p>
<p>(2) In granting access to an individual to a record pertaining to him, such steps shall be taken by the Commission’s staff as are necessary to prevent the unauthorized disclosure at the same time of information pertaining to individuals other than the person making the request or of other information that does not pertain to the individual.
</p>
<p>(c) <i>Denial of request for access.</i> If it is determined that access will not be granted, the individual making the request will be notified of that fact and given the reasons why access is being denied. The individual also will be advised (1) of his right to seek review by the General Counsel of the intital decision to deny access, in accordance with the procedures set forth in &#167; 200.308 of this subpart; and (2) of his right ultimately to obtain judicial review pursuant to 5 U.S.C. 552a(g)(1)(A) of a final denial of access by the General Counsel.
</p>
<p>(d) <i>Time for acting on requests for access.</i> Access to a record pertaining to an individual normally will be granted or denied within 30 days (excluding Saturdays, Sundays and legal holidays) after the receipt of the request for access unless the individual making the request is notified in writing within the 30 day period that, for good cause shown, a longer time is required. In such cases, the individual making the request shall be informed in writing of the difficulties encountered and an indication shall be given as to when it is anticipated that access may be granted or denied.
</p>
<p>(e) <i>Authorization to allow designated person to review and discuss records pertaining to another individual.</i> An individual who is granted access to records pertaining to him, and who appears at a Commission Office to review the records, may be accompanied by another person of his choosing. Where the records as to which access has been granted are not required to be disclosed under provisions of the Freedom of Information Act 5 U.S.C. 552, as amended, the individual requesting the records, before being granted access, shall execute a written statement, signed by him and the person accompanying him, which specifically authorizes the latter individual to review and discuss the records. If such authorization has not been given as described, the person who has accompanied the individual making the request will be excluded from any review or discussion of the records.
</p>
<p>(f) <i>Exclusion for certain records.</i> Nothing contained in these rules shall allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding.
</p>
<p>(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat. 833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38, Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11))
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13866, Apr. 9, 1984]

</p>
<p><b>&#167; 200.305 Special procedure: Medical records.
</b></p>
<p>(a) <i>Statement of physician or mental health professional.</i> When an individual requests access to records pertaining to him that include medical and/or psychological information, the Commission, if it deems it necessary under the particular circumstances, may require the individual to submit with the request a signed statement by his physician or a mental health professional indicating that, in their opinion, disclosure of the requested records or information directly to the individual will not have an adverse effect on the individual.
</p>
<p>(b) <i>Designation of physician or mental health professional to receive records.</i> If the Commission believes, in good faith, that disclosure of medical and/or psychological information directly to an individual could have an adverse effect on that individual, the individual may be asked to designate in writing a physician or mental health professional to whom he would like the records to be disclosed, and disclosure that otherwise would be made to the individual will instead be made to the designated physician or mental health professional.

</p>
<p><b>&#167; 200.306 Requests for amendment or correction of records.
</b></p>
<p>(a) <i>Place to make requests.</i> A written request by an individual to amend or correct records pertaining to him or her may be hand delivered during normal business hours to the SEC, Operations Center, Room 1418, 6432 General Green Way, Alexandria, VA 22312-2414, or be sent by mail to the Office of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-1149).
</p>
<p>(1) <i>Information to be included in requests.</i> Each request to amend or correct a Commission record shall reasonably describe the record sought to be amended or corrected. Such description should include, for example, relevant names, dates and subject matter to permit the record to be located among the records maintained by the Commission. An individual who has requested that a record pertaining to him be amended or corrected will be advised promptly if the record cannot be located on the basis of the description given and that further identifying information is necessary before his request can be processed. An initial evaluation of a request presented in person will be made immediately to ensure that the request is complete and to indicate what, if any, additional information will be required. Verification of the individual’s identity as set forth in &#167; 200.303(a) (2), (3), (4) and (5) may also be required.
</p>
<p>(2) <i>Basis for amendment or correction.</i> An individual requesting an amendment or correction to a record pertaining to him shall specify the substance of the amendment or correction and set forth facts and provide such materials that would support his contention that the record pertaining to him as maintained by the Commission is not accurate, timely or complete, or that the record is not necessary and relevant to accomplish a statutory purpose of the Commission as authorized by law or by Executive Order of the President.
</p>
<p>(b) <i>Acknowledgement of requests for amendment or correction.</i> Receipt of a request to amend or correct a record pertaining to an individual normally will be acknowledged in writing within 10 days after such request has been received. When a request to amend or correct is made in person, the individual making the request will be given a written acknowledgement when the request is presented. The acknowledgement will describe the request received and indicate when it is anticipated that action will be taken on the request. No acknowledgement will be sent when the request for amendment or correction will be reviewed, and an initial decision made, within 10 days from the date the request is received.
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 47 FR 26819, June 22, 1982; 65 FR 55186, Sept. 13, 2000]

</p>
<p><b>&#167; 200.307 Review of requests for amendment or correction.
</b></p>
<p>(a) <i>Initial review.</i> As in the case of requests for access, requests by individuals for amendment or correction to records pertaining to them will be referred to the Commission’s Privacy Act Officer for an initial determination, except that such requests may be considered by a Division Director or Office Head (other than the General Counsel) as set forth in &#167; 200.304(a) of this subpart.
</p>
<p>(b) <i>Standards to be applied in reviewing requests.</i> In reviewing requests to amend or correct records, the Privacy Act Officer, or Division or Office head, will be guided by the criteria set forth in 5 U.S.C. 552a(e)(1), <i>i.e.</i>, that records maintained by the Commission shall contain only such information as is necessary and relevant to accomplish a statutory purpose of the Commission as required by statute or Executive Order of the President and that such information also be accurate, timely, and complete. These criteria will be applied whether the request is to add material to a record or to delete information from a record.
</p>
<p>(c) <i>Time for acting on requests.</i> Initial review of a request by an individual to amend or correct a record pertaining to him shall be completed as promptly as is reasonably possible and normally within 30 days (excluding Saturdays, Sundays and legal holidays) from the date the request was received, unless unusual circumstances preclude completion of review within that time. If the anticipated completion date indicated in the acknowledgement cannot be met, the individual requesting the amendment will be advised in writing of the delay and the reasons therefor, and also advised when action is expected to be completed.
</p>
<p>(d) <i>Grant of requests to amend or correct records.</i> If a request to amend or correct a record is granted in whole or in part, the Privacy Act Officer will: (1) Advise the individual making the request in writing of the extent to which it has been granted; (2) amend or correct the record accordingly; and (3) where an accounting of disclosures of the record has been kept pursuant to 5 U.S.C. 552a(c), advise all previous recipients of the record of the fact that the record has been amended or corrected and the substance of the amendment or correction.
</p>
<p>(e) <i>Denial of requests to amend or correct records.</i> If an individual’s request to amend or correct a record pertaining to him is denied in whole or in part, the Privacy Act Officer will:
</p>
<p>(1) Promptly advise the individual making the request in writing of the extent to which the request has been denied;
</p>
<p>(2) State the reasons for the denial of the request;
</p>
<p>(3) Describe the procedures established by the Commission to obtain further review within the Commission of the request to amend or correct, including the name and address of the person to whom the appeal is to be addressed; and
</p>
<p>(4) Inform the individual that the Privacy Act Officer will provide information and assistance to the individual in perfecting an appeal of the initial decision.
</p>
<p>(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat. 833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38, Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11))
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13866, Apr. 9, 1984]

</p>
<p><b>&#167; 200.308 Appeal of initial adverse agency determination as to access or as to amendment or correction.
</b></p>
<p>(a) <i>Administrative review.</i> Any person who has been notified pursuant to &#167; 200.304(c) that his request for access to records pertaining to him has been denied, or pursuant to Section 307(e) of this subpart that his request for amendment or correction has been denied in whole or in part, or who has received no response to a request for access or to amend within 30 days (excluding Saturdays, Sundays and legal holidays) after his request was received by the Office of Information and Privacy Act Operations (or within such extended period as may be permitted in accordance with &#167;&#167; 200.304(d) and 200.307(c) of this subpart), may appeal the adverse determination or failure to respond to the General Counsel.
</p>
<p>(1) The appeal shall be in writing and shall describe the record in issue and set forth the proposed amendment or correction and the reasons therefor.
</p>
<p>(2) The appeal shall be delivered or sent by mail to the Office of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-1149).
</p>
<p>(3) The applicant, if he wishes, may state such facts and cite such legal or other authorities as he may consider appropriate in support of his application.
</p>
<p>(4) The General Counsel will make a determination with respect to any appeal within 30 days after the receipt of such appeal (excluding Saturdays, Sundays and legal holidays), unless for good cause shown, the General Counsel shall extend that period. If such an extension is made, the individual who is appealing shall be advised in writing of the extension, the reasons therefor, and the anticipated date when the appeal will be decided.
</p>
<p>(5) In considering an appeal from a denial of a request to amend or correct a record, the General Counsel shall apply the same standards as set forth in &#167; 200.307(b).
</p>
<p>(6) If the General Counsel shall conclude that access should be granted, he or she shall issue an order granting access and instructing the Privacy Act Officer to comply with &#167; 200.304(b).
</p>
<p>(7) If the General Counsel shall conclude that the request to amend or correct the record should be granted in whole or in part, he or she shall issue an order granting the requested amendment or correction in whole or in part and instructing the Privacy Act Officer to comply with the requirements of &#167; 200.307(d) of this subpart, to the extent applicable.
</p>
<p>(8) If the General Counsel affirms the initial decision denying access, he or she shall issue an order denying access and advising the individual seeking access of (i) The order; (ii) the reasons for denying access; and (iii) the individual’s right to obtain judicial review of the decision pursuant to 5 U.S.C. 552a(g)(1)(B).
</p>
<p>(9) If the General Counsel determines that the decision of the Privacy Act Officer denying a request to amend or correct a record should be upheld, he or she shall issue an order denying the request and the individual shall be advised of
</p>
<p>(i) The order refusing to amend or correct the record and the reasons therefor;
</p>
<p>(ii) His or her right to file a concise statement setting forth his or her disagreement with the General Counsel’s decision not to amend or correct the record;
</p>
<p>(iii) The procedures for filing such a statement of disagreement with the General Counsel;
</p>
<p>(iv) The fact that any such statement of disagreement will be made available to anyone to whom the record is disclosed, together with, if the General Counsel deems it appropriate, a brief statement setting forth the General Counsel’s reasons for refusing to amend or correct;
</p>
<p>(v) The fact that prior recipients of the record in issue will be provided with the statement of disagreement and the General Counsel’s statement, if any, to the extent that an accounting of such disclosures has been maintained pursuant to 5 U.S.C. 552a(c); and
</p>
<p>(vi) The individual’s right to seek judicial review of the General Counsel’s refusal to amend or correct, pursuant to 5 U.S.C. 552a(g)(1)(A).
</p>
<p>(10) In appropriate cases the General Counsel may, in his or her sole and unfettered discretion, refer matters requiring administrative review of initial decisions to the Commission for determination and the issuance, where indicated, of orders.
</p>
<p>(b) <i>Statement of disagreement.</i> As noted in paragraph (a)(9)(ii) of this section, an individual may file with the General Counsel a statement setting forth his disagreement with the General Counsel’s denial of his request to amend or correct a record.
</p>
<p>(1) Such statement of disagreement shall be delivered or sent by mail to the Office of Freedom of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-1149), within 30 days after receipt by the individual of the General Counsel’s order denying the amendment or correction. For good cause shown this period can be extended for a reasonable time.
</p>
<p>(2) Such statement of disagreement shall concisely state the basis for the individual’s agreement. Generally a statement should be no more than two pages in length, except an individual may submit a slightly longer statement if it is necessary to set forth his disagreement effectively. Unduly lengthy or irrelevant materials will be returned to the individual by the General Counsel for appropriate revisions before they become a permanent part of the individual’s record.
</p>
<p>(3) The record about which a statement of disagreement has been filed will clearly note which part of the record is disputed and the General Counsel will provide copies of the statement of disagreement and, if the General Counsel deems it appropriate, provide a concise statement of his or her reasons for refusing to amend or correct the record, to persons or other agencies to whom the record has been or will be disclosed.
</p>
<p>(4) In appropriate cases, the General Counsel may, in his or her sole and unfettered discretion, refer matters concerning statements of disagreement to the Commission for disposition.
</p>
<p>(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat. 833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38, Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11))
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 42 FR 40190, Aug. 9, 1977; 47 FR 26819, June 22, 1982; 49 FR 13866, Apr. 9, 1984; 65 FR 55186, Sept. 13, 2000]

</p>
<p><b>&#167; 200.309 General provisions.
</b></p>
<p>(a) <i>Extensions of time.</i> Pursuant to &#167;&#167; 200.303(b), 200.304(d), 200.307(c) and 200.308(a)(4) of this subpart, the time within which a request for information, access or amendment by an individual with respect to records maintained by the Commission that pertain to him normally would be processed may be extended for good cause shown or because of unusual circumstances. As used in these rules, <i>good cause</i> and <i>unusual circumstances</i> shall include, but only to the extent reasonably necessary to the proper processing of a particular request:
</p>
<p>(1) The need to search for and collect the requested records from field facilities or other establishments that are separate from the Office processing the request. Many records of the Commission are stored in Federal Records Centers in accordance with law--including many of the documents which have been on file with the Commission for more than 2 years--and cannot be made available promptly. Other records may temporarily be located at a Regional Office of the Commission. Any person who has requested for personal examination a record stored at the Federal Records Center or temporarily located in a Regional Office of the Commission will be notified when the record will be made available to him.
</p>
<p>(2) The need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which may be demanded in a single request. While every reasonable effort will be made fully to comply with each request as promptly as possible on a first-come, first-served basis, work done to search for, collect and appropriately examine records in response to a request for a large number of records will be contingent upon the availability of processing personnel in accordance with an equitable allocation of time to all members of the public who have requested or wish to request records.
</p>
<p>(3) The need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request, or among two or more components within the Commission having substantial subject-matter interest therein.
</p>
<p>(b) <i>Effective date of action.</i> Whenever it is provided in this Subpart that an acknowledgement or response to a request will be given by specific times, deposit in the mails of such acknowledgement or response by that time, addressed to the person making the request, will be deemed full compliance.
</p>
<p>(c) <i>Records in use by a member of the Commission or its staff.</i> Although every effort will be made to make a record in use by a member of the Commission or its staff available when requested, it may occasionally be necessary to delay making such a record available when doing so at the time the request is made would seriously interfere with the work of the Commission or its staff.
</p>
<p>(d) <i>Missing or lost records.</i> Any person who has requested a record or a copy of a record pertaining to him will be notified if the record sought cannot be found. If he so requests, he will be notified if the record subsequently is found.
</p>
<p>(e) <i>Oral requests; misdirected written requests</i>--(1) <i>Telephone and other oral requests.</i> Before responding to any request by an individual for information concerning whether records maintained by the Commission in a system of records pertain to him or to any request for access to records by an individual, such request must be in writing and signed by the individual making the request. The General Counsel will not entertain any appeal from an alleged denial or failure to comply with an oral request. Any person who has orally requested information or access to records pertaining to him that he believes to have been improperly denied to him should resubmit his request in appropriate written form in order to obtain proper consideration and, if need be, administrative review.
</p>
<p>(2) <i>Misdirected written requests.</i> The Commission cannot assure that a timely or satisfactory response will be given to written requests for information, access or amendment by an individual with respect to records pertaining to him that are directed to the Commission other than in a manner prescribed in &#167;&#167; 200.303(a), 200.306(a), 200.308(a)(2), and 200.310 of this subpart. Any staff member who receives a written request for information, access or amendment should promptly forward the request to the Privacy Act Officer. Misdirected requests for records will be considered to have been received by the Commission only when they have been actually received by the Privacy Act Officer in cases under &#167; 200.308(a)(2). The General Counsel will not entertain any appeal from an alleged denial or failure to comply with a misdirected request, unless it is clearly shown that the request was in fact received by the Privacy Act Officer.
</p>
<p>[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13867, Apr. 9, 1984; 59 FR 5945, Feb. 9, 1994; 73 FR 32226, June 5, 2008]

</p>
<p><b>&#167; 200.310 Fees.
</b></p>
<p>(a) A request by an individual for copies of a record pertaining to him or her that is maintained by the Commission may be sent by mail to the Office of Freedom of Information and Privacy Act Operations, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-1149). There will be no charge assessed to the individual for the Commission’s expense involved in searching for or reviewing the record. Copies of the Commission’s records will be provided by a commercial copier or by the Commission at rates established by a contract between the copier and the Commission.
</p>
<p>(b) <i>Waiver or reduction of fees.</i> Whenever the Privacy Act Officer determines that good cause exists to grant a request for reduction or waiver of fees for copying documents, he or she may reduce or waive any such fees.
</p>
<p>(Pub. L. 87-592, 76 Stat. 394, 15 U.S.C. 78d-1, 78d-2; Pub. L. 93-502; 11 U.S.C. 901, 1109(a))
</p>
<p>[42 FR 56727, Oct. 28, 1977, as amended at 47 FR 26819, June 22, 1982; 49 FR 12686, Mar. 30, 1984; 50 FR 50287, Dec. 10, 1985; 65 FR 55186, Sept. 13, 2000]

</p>
<p><b>&#167; 200.311 Penalties.
</b></p>
<p>Title 18 U.S.C. 1001 makes it a criminal offense, subject to a maximum fine of $10,000, or imprisonment for not more than 5 years or both, to knowingly and willingly make or cause to be made any false or fradulent statements or representations in any matter within the jurisdiction of any agency of the United States. 5 U.S.C. 552a(i) makes it a misdemeanor punishable by a fine of not more than $5,000 for any person knowingly and willfully to request or obtain any record concerning an individual from the Commission under false pretenses. 5 U.S.C. 552a(i) (1) and (2) provide criminal penalties for certain violations of the Privacy Act by officers and employees of the Commission.

</p>
<p><b>&#167; 200.312  Specific exemptions.
</b></p>
<p>Pursuant to section (k) of the Privacy Act of 1974, the Chairman of the Securities and Exchange Commission, with the concurrence of the Commission, has deemed it necessary to promulgate the following exemptions to specified provisions of the Privacy Act:
</p>
<p>(a) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the following systems of records maintained by the Commission shall be exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as they contain investigatory materials compiled for law enforcement purposes:
</p>
<p>(1) Enforcement Files;
</p>
<p>(2) Office of General Counsel Working Files;
</p>
<p>(3) Office of the Chief Accountant Working Files;
</p>
<p>(4) Name-Relationship Index System;
</p>
<p>(5) Rule 102(e) of the Commission’s Rules of Practice--Appearing or Practicing Before the Commission;
</p>
<p>(6) Agency Correspondence Tracking System;
</p>
<p>(7) Tips, Complaints, and Referrals (TCR) Records;
</p>
<p>(8) SEC Security in the Workplace Incident Records; and
</p>
<p>(9) Investor Response Information System (IRIS).
</p>
<p>(b) Pursuant to 5 U.S.C. 552a(k)(5), the system of records containing the Commission’s Disciplinary and Adverse Actions, Employee Conduct, and Labor Relations Files shall be exempt from sections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of the Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), and (e)(4)(I), and (f), and 17 CFR 200.303, 200.304, and 200.306 insofar as they contain investigatory material compiled to determine an individual’s suitability, eligibility, and qualifications for Federal civilian employment or access to classified information, but only to the extent that the disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence, or, prior to September 27, 1975, under an implied promise that the identity of the source would be held in confidence.
</p>
<p>[40 FR 44073, Sept. 24, 1975, as amended at 52 FR 2677, Jan. 26, 1987; 54 FR 24332, June 7, 1989; 54 FR 46373, Nov. 3, 1989; 60 FR 32795, June 23, 1995; 65 FR 55186, Sept. 13, 2000; 76 FR 57637, Sept. 16, 2011]
</p>
<p><b>&#167; 200.313 Inspector General exemptions.
</b></p>
<p>(a) Pursuant to section (j) of the Privacy Act of 1974, the Chairman of the Securities and Exchange Commission, with the concurrence of the Commission, has deemed it necessary to promulgate the following exemptions to specified provisions of the Privacy Act:
</p>
<p>(1) Pursuant to, and limited by 5 U.S.C. 552a(j)(2), the system of records maintained by the Office of Inspector General of the Commission that contains the Investigative Files shall be exempted from the provisions of 5 U.S.C. 552a, except subsections (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i), and 17 CFR 200.303, 200.304, 200.306, 200.307, 200.308, 200.309 and 200.310, insofar as the system contains information pertaining to criminal law enforcement investigations.
</p>
<p>(2) [Reserved]
</p>
<p>(b) Pursuant to section (k) of the Privacy Act of 1974, the Chairman of the Securities and Exchange Commission, with the concurrence of the Commission, has deemed it necessary to promulgate the following exemptions to specified provisions of the Privacy Act:
</p>
<p>(1) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the system of records maintained by the Office of Inspector General of the Commission that contains the Investigative Files shall be exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) and 17 CFR 200.303, 200.304, and 200.306, insofar as it contains investigatory materials compiled for law enforcement purposes.
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>
