[Federal Register Volume 59, Number 102 (Friday, May 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-12942]


[[Page Unknown]]

[Federal Register: May 27, 1994]


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SECURITIES AND EXCHANGE COMMISSION
Release No. PA-18

 

Privacy Act of 1974: Modification and Deletion of Systems of 
Records

AGENCY: Securities and Exchange Commission.

ACTION: Notification of deletion of Privacy Act Systems of Records and 
minor changes to descriptions of existing records systems for the 
Securities and Exchange Commission.

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SUMMARY: In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Securities and Exchange Commission is deleting seven records systems 
that are either obsolete or were replaced by another existing system; 
and altering the notices of forty-three existing systems of records to 
reflect revisions to the agency's address, records retention and 
disposal schedule, notification procedures and record access 
procedures, updating the names of records systems, and designating new 
systems managers.

EFFECTIVE DATE: May 27, 1994.

FOR FURTHER INFORMATION CONTACT: GayLa D. Sessoms, Privacy Act Officer 
(202/942-4320), Office of the Executive Director, Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.

SUPPLEMENTARY INFORMATION: In the course of reviewing its Privacy Act 
Systems of Records notices, the Securities and Exchange Commission 
identified two systems notices whose records duplicate those covered by 
SEC-16 (Complaint Processing System). Another record system is no 
longer maintained separately as its records have been consolidated in 
SEC-102 (Enforcement Files). Three systems notices are being deleted 
because they are obsolete. SEC-15 (Comments on Commission and 
Securities Self-Regulatory Organization Rules Changes) is not retrieved 
by a name or personal identifier, and therefore not a legitimate 
Privacy Act System. The Commission also identified forty-three notices 
that require minor alterations. For the most part, these changes 
involve updating the Commission's address. The other changes include 
revising records and disposal procedures, notification procedures and 
record access procedures, revising the names of systems of records due 
to the renaming of an office, and designating new systems managers. 
None of these changes will affect an individual's ability to gain 
access to his or her records maintained by the Commission.
* * * * *
    The following systems of records are either: (1) obsolete; (2) not 
retrieved by name or personal identifier and, therefore, not legitimate 
Privacy Act systems; or (3) no longer maintained by the SEC as 
independent systems and accordingly, the corresponding notices are 
deleted from the Federal Register.
SEC-15
System name: Comments on Commission and Securities Self-Regulatory 
Organization Rules Changes
SEC-20
System name: Defendant Index
SEC-33
System name: General Correspondence Files
SEC-39
System name: Mailing Address Labels (MAL)
SEC-60
System name: Subject File Index
SEC-72
System name: Denver Regional Office Regulation A Control Cards
SEC-78
System name: Fort Worth Regional Office and Houston Branch Office 
General Indices
* * * * *
    The following systems of records notices are being amended to 
reflect changes in the following: system names, system locations, 
retention and disposal schedules, system managers and offices, 
notification procedures and record access procedures.
SEC-1, SEC-2, SEC-6, SEC-7 and SEC-8
    These systems are amended as follows:
    1. System location: The reference to SEC Regional and Branch 
Offices is removed and replaced by SEC Regional and District Offices.
    2. Retention and disposal: This section is revised to read: 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.
    3. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-3
    SEC-3 is amended as follows:
    1. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    2. Retention and disposal: This section is revised to read: 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.
    3. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-4 and SEC-5
    These systems are amended as follows:
    1. Retention and disposal: This section is revised to read: 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 Schedule 
outlined at 17 CFR 200.80f.
    2. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-9
    SEC-9 is amended as follows:
    1. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    2. System manager(s) and address: This section is revised to read: 
Associate Executive Director (Finance), Securities and Exchange 
Commission, 450 Fifth Street NW., Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-10
    SEC-10 is amended as follows:
    1. System location: This section is revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. System manager(s) and address: This section is revised to read: 
Chief Administrative Law Judge, Securities and Exchange Commission, 450 
Fifth Street NW., Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-11 and SEC-58
    These systems are amended as follows:
    1. System location: The reference to SEC Regional and Branch 
Offices is removed and replaced by SEC Regional and District Offices.
    2. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-13
    SEC-13 is amended as follows:
    1. System location: This section is revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. System manager(s) and address: This section is revised to read: 
Secretary, Securities and Exchange Commission, 450 Fifth Street NW., 
Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-14
    SEC-14 is amended as follows:
    1. System location: The reference to SEC Regional and Branch 
Offices is removed and replaced by SEC Regional and District Offices.
    2. Retention and disposal: This section is revised to read: 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.
    3. System manager(s) and address: This section is revised to read: 
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.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-16
    SEC-16 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Agency Correspondence Tracking System (ACTS).
    2. Retention and disposal: This section is revised to read: Records 
are maintained for two years after the date received.
    3. System manager(s) and address: This section is revised to read: 
Secretary, Securities and Exchange Commission, 450 Fifth Street NW., 
Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-17, SEC-18 and SEC-19
    These systems are amended as follows:
    1. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    2. Retention and disposal: This section is revised to read: 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 Schedule 
outlined at 17 CFR 200.80f.
    3. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-21
    SEC-21 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Bankruptcy Act Records.
    2. System location: This section is revised to read: Securities and 
Exchange Commission, Washington, DC 20549; Northeast Regional Office, 
New York, NY 10048; Southeast Regional Office, Miami, FL 33131; Atlanta 
District Office, Atlanta, GA, 30326-1232; Midwest Regional Office, 
Chicago, IL 60661-2511; and Pacific Regional Office, Los Angeles, CA 
90036-3648.
    3. System manager(s) and address: This section is revised to read: 
General Counsel, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-22, SEC-31, SEC-46 and SEC-103
    These systems are amended as follows:
    1. Notification procedure: This section is revised to read: 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.
SEC-23
    SEC-23 is amended as follows:
    1. System manager(s) and address: This section is revised to read: 
Director, Division of Corporation Finance, Securities and Exchange 
Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Notification procedure: This section is revised to read: 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.
    3. Record access procedures: This section is revised to read: 
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.
SEC-27
    SEC-27 is amended as follows:
    1. System manager(s) and address: This section is revised to read: 
Director, Division of Investment Management, Securities and Exchange 
Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Notification procedure: This section is revised to read: 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.
    3. Record access procedures: This section is revised to read: 
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.
SEC-30
    SEC-30 is amended as follows:
    1. System manager(s) and address: This section is revised to read: 
Director, Office of Equal Employment Opportunity, Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Notification procedure: This section is revised to read: 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.
    3. Record access procedures: This section is revised to read: 
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.
SEC-32
    SEC-32 is amended as follows:
    1. System location: This section revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Retention and disposal: This section is revised to read: Records 
are retained according to the General Records Schedule, published by 
the National Archives and Records Administration.
    3. System manager(s) and address: This section is revised to read: 
Freedom of Information Act Officer, Securities and Exchange Commission, 
450 Fifth Street NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-34
    SEC-34 is amended as follows:
    1. System location: The reference to SEC Regional and Branch 
Offices is removed and replaced by SEC Regional and District Offices.
    2. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    3. Retention and disposal: This section is revised to read: 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.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-40
    SEC-40 is amended as follows:
    1. System location: This section is revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Retention and disposal: The reference to Office of Data 
Processing is removed and replaced by Office of Information Technology.
    3. System manager(s) and address: This section is revised to read: 
Associate Executive Director (Finance), Securities and Exchange 
Commission, 450 Fifth Street NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-41
    SEC-41 is amended as follows:
    1. System location: This section is revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    2. Retention and disposal: This section is revised to read: 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.
    3. System manager(s) and address: This section is revised to read: 
Secretary, Securities and Exchange Commission, 450 Fifth Street NW., 
Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-42
    SEC-42 is amended as follows:
    1. Retention and disposal: The reference to the Office of 
Information Systems Management is removed and replaced by the Office of 
Information Technology.
    2. System manager(s) and address: This section is revised to read: 
Associate Executive Director, Office of Information Technology, 
Securities and Exchange Commission, 450 Fifth Street NW., Washington, 
DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-43
    SEC-43 is amended as follows:
    1. Retention and disposal: This section is revised to read: 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.
SEC-44
    SEC-44 is amended as follows:
    1. System manager(s) and address: This section is revised to read: 
Chief Accountant, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    2. Notification procedure: This section is revised to read: 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.
    3. Record access procedures: This section is revised to read: 
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.
SEC-45
    SEC-45 is amended as follows:
    1. System manager(s) and address: This section is revised to read: 
General Counsel, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    2. Notification procedure: This section is revised to read: 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.
    3. Record access procedures: This section is revised to read: 
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.
SEC-47
    SEC-47 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Personnel Management Code of Conduct and Employee Performance Files.
    2. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    3. System manager(s) and address: The reference to the Director, 
Office of Human Resources Management is removed and replaced by 
Associate Executive Director, Office of Administrative and Personnel 
Management.
SEC-49
    SEC-49 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Personnel Management Employment and Staffing Files.
    2. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices. The reference to 
Regional and Branch Office is removed and replaced by Regional and 
District Office.
    3. Categories of records in the system: The references to Office of 
Personnel Management are removed and replaced by the Office of 
Administrative and Personnel Management.
    4. Safeguards: The reference to Office of Personnel is removed and 
replaced by the Office of Administrative and Personnel Management. The 
reference to Director or Assistant Director of the Office of Personnel 
is removed and replaced by the Associate Executive Director, Office of 
Administrative and Personnel Management. The reference to Regional 
Administrators is removed and replaced by Regional Directors.
    5. Retention and disposal: The reference to Office of Personnel 
Management is removed and replaced by the Office of Administrative and 
Personnel Management.
    6. System manager(s) and address: This section is revised to read: 
Associate Executive Director, Office of Administrative and Personnel 
Management, Securities and Exchange Commission, 450 Fifth Street NW., 
Washington, DC 20549.
SEC-52
    SEC-52 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Office of Public Affairs, Policy Evaluation and Research Records.
    2. System manager(s) and address: This section is revised to read: 
Director, Office of Public Affairs, Policy Evaluation and Research, 
Securities and Exchange Commission, 450 Fifth Street NW., Washington, 
DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-54
    SEC-54 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Personnel Management Security Files.
    2. System manager(s) and address: This section is revised to read: 
Associate Executive Director, Office of Administrative and Personnel 
Management, Securities and Exchange Commission, 450 Fifth Street NW., 
Washington, DC 20549.
SEC-56
    SEC-56 is amended as follows:
    1. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    2. System manager(s) and address: This section is revised to read:
    1. Inquiries on Rule 2(e) matters concerning accountants: Director, 
Division of Enforcement, Securities and Exchange Commission, 450 5th 
Street, NW., Washington, DC 20549.
    2. Inquiries on Rule 2(e) matters concerning attorneys: General 
Counsel, Securities and Exchange Commissions, 450 Fifth Street NW., 
Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-57
    SEC-57 is amended as follows:
    1. System location: The reference to Regional and Branch Offices is 
removed and replaced by Regional and District Offices.
    2. System manager(s) and address: This section is revised to read: 
Director, Division of Market Regulation, Securities and Exchange 
Commission, 450 Fifth Street NW., Washington, DC 20549.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.
SEC-98
    SEC-98 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Administrative Proceeding Files.
    2. System location: The section is revised to read: Securities and 
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
    3. System manager(s) and address: This section is revised to read: 
Records Officer, Securities and Exchange Commission, 450 Fifth Street 
NW., Washington, DC 20549.
    4. Notification procedure: This section is revised to read: 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.
    5. Record access procedures: This section is revised to read: 
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.
SEC-100
    SEC-100 is amended as follows:
    1. System name: The name of this system notice is revised to read: 
Automated Personnel Management Information System.
    2. Safeguards: The references to the Office of Information Systems 
Management and the Office of Data Processing are both removed and 
replaced by the Office of Information Technology.
    3. System manager(s) and address: The reference to the Director, 
Office of Human Resources Management is removed and replaced by the 
Associate Executive Director, Office of Administrative and Personnel 
Management.
    4. Notification and Record access procedures: Reference to the 
Office of Human Resources Management is removed and replaced by the 
Office of Administrative and Personnel Management.
SEC-102
    SEC-102 is amended as follows:
    1. Retention and disposal: This section is revised to read: These 
records are maintained in-house until the investigation is officially 
closed, then transferred to the Federal Records Center for storage. 
They are controlled by assigned case number and destroyed after 25 
years, in accordance with the Commission's formal Records Control 
Schedule outlined at 17 CFR 200.80f.
    2. System manager(s) and address: This section is revised to read: 
Director, Division of Enforcement, Securities and Exchange Commission, 
450 Fifth Street NW., Washington, DC 20549; Records Officer, Securities 
and Exchange Commission, 450 Fifth Street NW., Washington, DC 20549; 
Regional Director, Northeast Regional Office, 7 World Trade Center, 
suite 1300, New York, N.Y. 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; 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; Regional Director, Midwest Regional Office, Northwestern Atrium 
Center, 500 W. Madison Street, suite 1400, Chicago, IL 60661-2511; 
Regional Director, 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; Regional Director, 
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.
    3. Notification procedure: This section is revised to read: 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.
    4. Record access procedures: This section is revised to read: 
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.

Appendix A

    Appendix A is revised to read as follows:

Appendix A: System Notice Names and Numbers

    (1) 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.
    (2) Application for Registration/Exemption under the Securities 
Exchange Act of 1934, Investment Advisers Act of 1940, and Investment 
Company Act of 1940.
    (3) Notification of Exemption from Registration under the 
Securities Act of 1933.
    (4) Beneficial Ownership Acquisition, Tender Offer, and 
Solicitation Records Filed under the Securities Exchange Act of 1934.
    (5) 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.
    (6) 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.
    (7) Proposed Sale of Securities Records Filed under the Securities 
Act of 1933.
    (8) Proxy Soliciting Material Filed under the Securities Exchange 
Act of 1934, Public Utility Holding Company Act of 1935, and Investment 
Company Act of 1940.
    (9) Administrative Audit System.
    (10) Administrative Law Judge Assignments and Dispositions of 
Administrative Proceedings.
    (11) Administrative and Litigation Release System.
    (12) (Reserved)
    (13) Administrative Proceedings Records Cards.
    (14) Applications for Relief From Disqualification Filed Under the 
Securities Act of 1933 and the Commission Rules of Practice.
    (15) (Reserved)
    (16) Agency Correspondence Tracking System (ACTS).
    (17) Correspondence Files Pertaining to Registered Broker-Dealers.
    (18) Correspondence Files Pertaining to Registered Investment 
Advisers.
    (19) Correspondence Files Pertaining to Registered Investment 
Companies.
    (20) (Reserved)
    (21) Bankruptcy Act Records.
    (22) Division of Corporation Finance and Support Office Working 
Files.
    (23) Division of Corporation Finance Index for Filings on Schedule 
13D and Filings under Regulations A and B.
    (24) (Reserved)
    (25) (Reserved)
    (26) (Reserved)
    (27) Division of Investment Management Correspondence and Memoranda 
Files.
    (28) (Reserved)
    (29) (Reserved)
    (30) Equal Employment Opportunity Complaints.
    (31) Executive/Congressional Personnel Referrals.
    (32) Freedom of Information Act Requests.
    (33) (Reserved)
    (34) Hearings, Proceedings and Studies.
    (35) (Reserved)
    (36) (Reserved)
    (37) (Reserved)
    (38) (Reserved)
    (39) (Reserved)
    (40) Staff Time and Activity Tracking System (STATS).
    (41) Minutes Regarding Action Taken by the Commission.
    (42) Name-Relationship Search System (NRS).
    (43) No-action and Interpretative Letters.
    (44) Office of the Chief Accountant Working Files.
    (45) Office of the General Counsel Work Files.
    (46) Office of the General Counsel (Adjudication) Working Files.
    (47) Personnel Management Code of Conduct and Employee Performance 
Files.
    (48) (Reserved)
    (49) Personnel Management Employment and Staffing Files.
    (50) (Reserved)
    (51) Personnel Management Training Files.
    (52) Office of Public Affairs Records.
    (53) Pay and Leave System.
    (54) Personnel Management Security Files.
    (55) (Reserved)
    (56) Rule 2(e) of the Commission's Rules of Practice--Appearing or 
Practicing Before the Commission.
    (57) SECO Files.
    (58) Securities Violations Records and Bulletin.
    (59) (Reserved)
    (60) (Reserved)
    (61) (Reserved)
    (62) (Reserved)
    (63) (Reserved)
    (64) (Reserved)
    (65) (Reserved)
    (66) (Reserved)
    (67) (Reserved)
    (68) (Reserved)
    (69) (Reserved)
    (70) (Reserved)
    (71) (Reserved)
    (72) (Reserved)
    (73) (Reserved)
    (74) (Reserved)
    (75) (Reserved)
    (76) (Reserved)
    (77) (Reserved)
    (78) (Reserved)
    (79) (Reserved)
    (80) (Reserved)
    (81) (Reserved)
    (82) (Reserved)
    (83) (Reserved)
    (84) (Reserved)
    (85) (Reserved)
    (86) (Reserved)
    (87) (Reserved)
    (88) (Reserved)
    (89) (Reserved)
    (90) (Reserved)
    (91) (Reserved)
    (92) (Reserved)
    (93) (Reserved)
    (94) (Reserved)
    (95) (Reserved)
    (96) (Reserved)
    (97) (Reserved)
    (98) Administrative Proceeding Files.
    (99) (Reserved)
    (100) Automated Personnel Management Information System.
    (101) (Reserved)
    (102) Enforcement Files.
    (103) Office of Inspector General Investigative Files.

    Dated: May 23, 1994.

    By the Commission.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-12942 Filed 5-26-94; 8:45 am]
BILLING CODE 8010-01-P