[Federal Register Volume 74, Number 139 (Wednesday, July 22, 2009)]
[Notices]
[Pages 36281-36289]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-17348]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-39; File No. S7-14-09]


Privacy Act of 1974: Systems of Records

AGENCY: Securities and Exchange Commission.

ACTION: Notice to establish systems of records.

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SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission 
(``Commission'' or ``SEC'') gives notice of proposing to establish the 
following five new Privacy Act systems of records:

[[Page 36282]]

``Information Pertaining or Relevant to SEC Registrants and Their 
Activities (SEC-55)'', ``Mailing, Contact and Other Lists (SEC-56)'', 
``International Program Oversight Database (International-POD) (SEC-
57)'', ``System for Enforcement Case Tracking and Routing (SEC-58)'', 
and ``Office of Interpretation and Guidance Log; Office of Broker-
Dealer Finances NRSRO Log; and Office of Financial Responsibility Log 
(SEC-59)''.

DATES: The proposed systems will become effective August 31, 2009 
unless further notice is given. The Commission will publish a new 
notice if the effective date is delayed to review comments or if 
changes are made based on comments received. To be assured of 
consideration, comments should be received on or before August 21, 
2009.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/other.shtml); or
     Send an e-mail to [email protected]. Please include 
File Number S7-14-09 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy, 
Secretary, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549-1090.

All submissions should refer to File Number S7-14-09. This file number 
should be included on the subject line if e-mail is used. To help us 
process and review your comments more efficiently, please use only one 
method. The Commission will post all comments on the Commission's 
Internet Web site (http://www.sec.gov/rules/other.shtml). Comments are 
also available for public inspection and copying in the Commission's 
Public Reference Room, 100 F Street, NE, Washington, DC 20549, on 
official business days between the hours of 10 a.m. and 3 p.m. All 
comments received will be posted without change; we do not edit 
personal identifying information from submissions. You should submit 
only information that you wish to make available publicly.

FOR FURTHER INFORMATION CONTACT: Barbara A. Stance, Chief Privacy 
Officer, Office of Information Technology, 202-551-7209.

SUPPLEMENTARY INFORMATION: The Commission gives notice of the proposed 
establishment of five new systems of records as follows: ``Information 
Pertaining or Relevant to SEC Registrants and Their Activities (SEC-
55)'', which contains records on individuals associated with entities 
or persons that are registered with the SEC; ``Mailing, Contact and 
Other Lists (SEC-56)'', which contains records related to individuals 
and employees who submit request for information, subscriptions, 
inquiries, guidance, informal advice and other assistance to the SEC; 
``International Program Oversight Database (International-POD) (SEC-
57)'', which contains information related to an SEC investigation, 
international institute training, foreign regulators and stock 
exchanges, SEC travel records and United States Agency for 
International Development (USAID) reimbursable programs; ``System for 
Enforcement Case Tracking and Routing (SEC-58)'', which contains 
correspondence related to litigation, pleadings in administrative 
proceedings, and other documents; and ``Office of Interpretation and 
Guidance Log; Office of Broker-Dealer Finances NRSRO Log; and Office of 
Financial Responsibility Log (SEC-59)'', which contains records of 
inquiries, requests, comments or other communications submitted to the 
Division of Trading and Markets' Office of Interpretation and Guidance, 
the Office of Broker-Dealer Finances relating to NRSROs or to the 
Office of Financial Responsibility, respectively.
    The Commission has submitted a report of the new systems of records 
to the appropriate Congressional committees and to the Director of the 
Office of Management and Budget (``OMB'') as required by 5 U.S.C. 
552a(r) (Privacy Act of 1974) and guidelines issued by OMB on December 
12, 2000 (65 FR 77677).
    Accordingly, the Commission is proposing five new systems of 
records to read as follows:
SEC-55

SYSTEM NAME:
    Information Pertaining or Relevant to SEC Registrants and Their 
Activities.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street, NE, Washington, 
DC 20549. Records also are maintained in the SEC Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Records concern individuals associated with entities or persons 
that are registered with the SEC as broker-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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 78a et seq., 80a-1 et seq., and 80b-1 et seq.

PURPOSE(S):
    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.
    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.
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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:
    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

[[Page 36283]]

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.
    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.
    3. By SEC personnel for purposes of investigating possible 
violations of, or to conduct investigations authorized by, the federal 
securities laws.
    4. In connection with investigations or disciplinary proceedings by 
a state securities regulatory authority, a foreign securities 
authority, or by a self-regulatory organization involving one or more 
of its members.
    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-related 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.
    6. 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 in this system of records may be disclosed 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 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.
    7. In any proceeding where the federal securities laws are in issue 
or in which the SEC or past or present members of its staff is a party 
or otherwise involved in an official capacity.
    8. In connection with proceedings by the SEC pursuant to Rule 
102(e) of its Rules of Practice, 17 CFR 201.102(e).
    9. When considered appropriate, referred to a bar association or 
similar federal, state or local licensing authority for possible 
disciplinary action.
    10. To disclose 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.
    11. To disclose 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.
    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.
    13. To disclose 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 3(a)(47) of the Securities Exchange Act of 1934, 15 
U.S.C. 78c(a)(47) or the SEC's Rules of Practice, 17 CFR 201 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 SEC of the federal securities laws or the SEC's 
Rules of Practice.
    14. To disclose to any person during the course of any inquiry or 
investigation conducted by the SEC 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.
    15. To disclose to any person with whom the SEC contracts to 
reproduce, by typing, photocopy or other means, any record within this 
system for use by the SEC and its staff in connection with their 
official duties or to any person who is utilized by the SEC to perform 
clerical, stenographic or data analysis functions relating to the 
official business of the SEC.
    16. To disclose in reports published by the SEC 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)).
    17. To disclose to members of advisory committees that are created 
by the SEC or by Congress to render advice and recommendations to the 
SEC or to Congress, to be used solely in connection with their 
official, designated functions.
    18. To disclose as a routine use to any person who is or has agreed 
to be subject to the SEC's Rules of Conduct, 17 CFR 200.735-1 to 
200.735-18, and who assists in the investigation by the SEC 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 SEC for 
such violations, or otherwise in connection with the SEC's enforcement 
or regulatory functions under the federal securities laws.
    19. To disclose 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.
    20. To aid in responding to requests from Members of Congress and 
the public relating to particular Registrants and their activities.
    21. To disclose 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

[[Page 36284]]

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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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 
metal file cabinets.

RETRIEVABILITY:
    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 via a computer 
terminal.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief Information Officer, Office of Information Technology, 
Securities and Exchange Commission, Operations Center, 6432 General 
Green Way, Alexandria, VA 22312-2413.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    Record sources include filings made by Registrants; information 
obtained through examinations or investigations of Registrants and 
their activities; information contained in SEC 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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
SEC-56

SYSTEM NAME:
    Mailing, Contact and Other Lists.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street, NE., Washington, 
DC 20549. Records are also maintained in the SEC Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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 and responded to 
questionnaires, request forms and feedback forms.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77a et seq., 78a et seq., 80a-1 et seq., and 80b-1 et 
seq.

PURPOSE(S):
    1. To track and process complaints/inquiries/requests/comments and 
communications from members of the public, including industry 
representatives, counsel, and others.
    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.
    3. To process registration to SEC-related activities and events.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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:
    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.
    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.
    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

[[Page 36285]]

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.
    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.
    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.
    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.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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 
metal file cabinets.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
For SEC Headquarters:
    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.

For Regional Offices:
    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.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    The information is supplied by the individual and/or company making 
the request. Data may also be added pertaining to the fulfillment of 
the request. Information may also be obtained from other SEC records 
systems.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
SEC-57

SYSTEM NAME:
    International Program Oversight Database (International--POD).

SYSTEM LOCATION:
    Office of International Affairs, Securities and Exchange 
Commission, 100 F Street, NE., Washington, DC 20549.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

[[Page 36286]]

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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:
    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.
    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.
    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.
    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.
    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.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Data are retrievable by the individual's name or other identifier, 
such as case number, name, as well as non-identifying information.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy Director, Office of International Affairs, Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20549-1004.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
SEC-58

SYSTEM NAME:
    System for Enforcement Case Tracking and Routing (SECTR).

[[Page 36287]]

SYSTEM LOCATION:
    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.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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:
    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.
    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.
    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.
    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.
    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)).
    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.
    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.
    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.
    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.
    10. To prepare and publish information relating to violations of 
the federal securities laws as provided in 15 U.S.C. 78c(a)(47).
    11. To respond to subpoenas in any litigation or other proceeding.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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

[[Page 36288]]

administrative proceeding or civil action filed.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    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.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
SEC-59

SYSTEM NAMES:
    Office of Interpretation and Guidance Log; Office of Broker-Dealer 
Finances NRSRO Log; and Office of Financial Responsibility Log.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street, NE, Washington, 
DC 20549.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 78a et seq. and 17 CFR 202.1 to 202.10.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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:
    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.
    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.
    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.
    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.
    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.
    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.
    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

[[Page 36289]]

requesting agency, to the extent that the information is relevant and 
necessary to the requesting agency's decision on the matter.
    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.
    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.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGERS AND ADDRESSES:
    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.

NOTIFICATION PROCEDURE:
    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.

RECORD ACCESS PROCEDURES:
    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.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    By the Commission.

    Dated: July 16, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-17348 Filed 7-21-09; 8:45 am]
BILLING CODE 8010-01-P