[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
SECURITIES AND EXCHANGE COMMISSION
Table of Contents: System Notices 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) Applications for Registration or Exemption under the
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) Correspondence Files Pertaining to Registered Broker-Dealers.
(10) Correspondence Files Pertaining to Registered Investment
Advisers.
(11) Correspondence Files Pertaining to Registered Investment
Companies.
(12) Hearings, Proceedings and Studies.
(13) No-action and Interpretative Letters.
(14) Administrative Audit System.
(15) Pay and Leave System.
(16) Administrative Law Judge Assignments and Dispositions of
Administrative Proceedings.
(17) Minutes Regarding Action Taken by the Commission.
(18) Applications for Relief From Disqualification Filed Under
the Securities Act of 1933 and the Commission's Rules of Practice.
(19) Division of Corporation Finance and Support Office Working
Files.
(20) Division of Corporation Finance Index for Filings on
Schedule 13D and Filings under Regulations A and B.
(21) Division of Investment Management Correspondence and
Memoranda Files.
(22) Executive/Congressional Personnel Referrals.
(23) Staff Time and Activity Tracking System (STATS).
(24) Freedom of Information Act Requests.
(25) Office of Public Affairs, Policy Evaluation and Research
Records.
(26) [Reserved]
(27) Name-Relationship Search System (NRS).
(28) Office of the Chief Accountant Working Files.
(29) Agency Correspondence Tracking System (ACTS).
(30) Office of General Counsel Work Files.
(31) Office of General Counsel (Adjudication) Working Files.
(32) Rule 102(e) of the Commission's Rules of Practice--
Appearance and Practice Before the Commission.
(33) Administrative and Litigation Release System.
(34) Administrative Proceedings Records Cards.
(35) Securities Violations Records and Bulletin.
(36) Administrative Proceeding Files.
(37) Automated Personnel Management Information System.
(38) Personnel Management Code of Conduct and Employee
Performance Files.
(39) Personnel Management Employment and Staffing Files.
(40) Office of Personnel Training Files.
(41) Child Care Subsidy Program.
(42) Enforcement Files.
(43) Office of Inspector General Investigative Files.
(44) Ridesharing System.
(45) Public Transportation Subsidy Program.
(46) Identification Cards, Press Passes, and Proximity Access
Control Cards.
(47) Disgorgement and Penalties Tracking System.
(48) Fitness Center Membership, Payment, and Fitness Records.
(49) Broker-Dealer Records.
(50) Investment Adviser Records.
(51) Emergency Contingency Plan System.
SEC--1
System name: Registration Statements Filed Pursuant to
Provisions of the Securities Act of 1933, Securities Exchange Act
of 1934, Public Utility Holding Company Act of 1935, and
Investment Company Act of 1940--SEC
System location: Securities and Exchange Commission, Washington, DC
20549. Duplicate copies may be maintained in SEC Regional and
District Offices.
Categories of individuals covered by the system: Records include
information on officers, directors, principal shareholders, and
certain other persons having a relationship with or a transaction
with a registrant.
Categories of records in the system: The records describe the
individual's relationship to a registrant and other relevant material
business information about the individual.
Authority for maintenance of the system: Title 15, United States
Code, sections 79e, 77f, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and
78p; and 80a-8.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By SEC staff in the processing of registration statements and
periodic reports filed with the Commission under provisions of the
Federal securities laws; may also be used to respond to inquiries
from Members of Congress and the public concerning registrants and in
preparing no-action letters.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State, or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local government authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local governmental authority in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
8. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
9. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form or microform.
Retrievability: Records are accessed by name and/or file number
assigned to registration statement. Individual name access is
available through the Commission's Name-Relationship Index system.
Safeguards: Records contain public information and are available
through Public Reference Section. Records are maintained in central
records office, which is locked at night. Building where records are
maintained has a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Information is obtained from registration
statements that are filed with the Commission under the Securities
Act of 1933, Securities Exchange Act of 1934, the Public Utility
Holding Company Act of 1935, and the Investment Company Act of 1940.
SEC-2
System name:
Applications for Registration or Exemption under the Investment
Company Act of 1940.
System location:
SEC, 450 Fifth Street, NW, Washington, DC 20549.
Categories of individuals covered by the system:
Officers, directors, and other individuals related to investment
companies.
Categories of records in the system:
Name, date of birth, address, telephone numbers, social security
number, education, past and present employment, disciplinary history,
business relationships, and similar information.
Authority for maintenance of the system:
15 U.S.C. 77f, 77g, 77h, 77j, 80a-6, and 80a-8.
Purpose(s):
To help the SEC staff process applications for registration or
exemption, registration statements, and related forms under the
Investment Company Act of 1940 and implement the Federal securities
laws and rules.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), the SEC staff may provide these records to:
(1) Any member of the general public upon request;
(2) Any Federal, state, local, or foreign government authority or
securities self-regulatory organization that is investigating a
violation or potential violation of a statute, rule, regulation, or
order;
(3) Any Federal, state, local, or foreign bar association or
similar licensing authority responsible for possible disciplinary
action;
(4) Any Federal, state, or local government or governmental
authority that is deciding to hire or retain an individual, sign a
contract, or issue a license, grant, or benefit;
(5) Any individual or entity appointed by a court of competent
jurisdiction or agreed upon by the parties to a pending court action
or administrative proceeding alleging a violation of the Federal
securities laws or rules; and
(6) Any contractor that performs, on the SEC's behalf, services
requiring the use of these records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on paper, microfilm, or magnetic
tape and in a computer system.
Retrievability:
These records are retrievable by the name of, or a file number
assigned to, the registrant. Individual name access to these records
is available through the SEC's Name-Relationship Search Index.
Safeguards:
Non-computer records are maintained in a central records facility
that only authorized individuals may access. The facility is locked,
with security cameras and a 24-hour security guard. Computer records,
which are subject to data integrity controls, require passcodes for
database access.
Retention and disposal:
These records are transferred to the Federal Records Center
periodically for storage. They are controlled by file number and
retained under 17 CFR 200.80f.
System manager(s) and address:
Records Officer, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Records access procedures:
Persons wishing to access or contest these records should contact
the Privacy Act Officer, SEC Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Records Access Procedures, above.
Record source categories:
Applications for registration or exemption and related forms
filed with the SEC under the Investment Company Act of 1940.
Exemptions claimed for the system:
None.
SEC-3
System name: Notification of Exemption from Registration under
the Securities Act of 1933--SEC.
System location: These records are maintained in the Commission's
Regional and District Offices for the geographical areas covered by
those offices. Duplicate copies also may be maintained in the
headquarters office in Washington, DC.
Categories of individuals covered by the system: Records include
information on officeers, directors, principal shareholders, and
certain other persons having a relationship with or a transaction
with a registrant that has utilized one of the exemptions, such as
Regulations A, B, E and Rule 146F under the Securities Act of 1933.
Categories of records in the system: The records describe the
individual's relationship to a registrant and other relevant material
business information about the individual.
Authority for maintenance of the system: Title 15, United States
Code, Section 77c(b).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information in the records may be used as follows:
1. By SEC personnel in processing registration statements and
periodic reports and other documents required to be filed with the
Commission under provisions of the Federal securities laws; may also
be used in responding to inquiries from Members of Congress or the
public concerning a registrant and in preparing no-action letters.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws. Where there is an
indication of a violation or potential violation of law, whether
civil, criminal or regulatory in nature, and whether arising by
general statute or particular program statute, or by regulation, rule
or order issued pursuant thereto, the relevant records in the system
of records may be referred, as a routine use, to the appropriate
agency, whether Federal, State, local, foreign or a securities self-
regulatory organization charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute or rule, regulation or order issued
pursuant thereto.
3. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
4. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
5. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request in connection with the hiring or retention of an employee,
the issunace 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.
6. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general request for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
7. In any proceeding where the federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
8. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction or as a
result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee receiver, master special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the the Commission of the Federal securities laws of the
Commission's rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress. to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct. 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form and are stored on
shelving. Records or portions of records may be maintained in machine
readable form.
Retrievability: Records are accessed by name and/or file number
assigned to applicant. Individual name access is available through
the Commission's Name-Relationship Index system.
Safeguards: Records contain public information and are available
through Public Reference Section. Records are maintained in central
records office, which is locked at night.
Retention and disposal: 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.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Documents and other information required
to be filed under Regulations A, B, E, and F, and Rule 146
promulgated pursuant to provisions of the Securities Act of 1933.
SEC-4
System name: Beneficial Ownership, Acquisition, Tender Offer,
and Solicitation Records Filed under the Securities Exchange Act
of 1934--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records contain
information on certain persons who own beneficially more than 5
percent of any equity security of a class specified in section
13(d)(1) of the Securities Exchange Act of 1934 and on persons making
a tender offer to acquire more than 5 percent of such equity
securities.
Categories of records in the system: The records contain the
initial information and changes regarding beneficial ownership of the
equity securities of certain issuers, as well as information on
tender offers. The records also contain other relevant material
informations such as the individual beneficial owner's name,
citizenship, relationship to the issuer, role in transaction, and
social security or tax identification number (when provided on a
voluntary basis).
Authority for maintenance of the system: Title 15, United States
Code, Section 78m and 78n.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. By the SEC staff to verify information contained in other
filings and in preparing no-action letters.
2. To respond to requests from Members of Congress and the public
concerning tender beneficial owners, offers, acquisitions or
solicitations of securities.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a ``routine
use,'' to the appropriate agency, whether Federal, State, local,
foreign or a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
6. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
7. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
9. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
10 To prepare, on a periodic basis, for public inspection
tabulations of beneficial ownership, classified variously by issuer,
reporting persons, and in any other matter deemed necessary and
appropriate. Tabulations of various types may also be prepared from
time to time upon specific requests therefor.
11. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form and on magnetic
tape and cards.
Retrievability: Hard copy records are accessed by name and/or file
number assigned to issuer. Computer tabulations derived from data
contained in the hard copy records are accessed by issuer or by name
of reporting individual; more specialized methods of accessing
records may be developed upon request.
Safeguards: Records contain public information and are available
through Public Reference Section. Records are maintained in central
records office, to which access is limited to authorized personnel.
That office is locked at night and the building where the records are
maintained has a 24-hour security guard.
Retention and disposal: These records are controlled by the file
number and maintained in-house at the Commission's central records
office for three years, then transferred to the Federal Records
Center for storage. They are destroyed in accordance with the
Commission's formal Records Control Schedule outlined at 17 CFR
299.80f.
System manager(s) and address: Records Officer, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Notification procedure: 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.
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 Privacy Act Officer, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Contesting record procedures: See Record access procedures above.
Record source categories: Information is from public reports that
are required by statute to be filed with the Commission.
SEC-5
System name: Ownership Reports and Insider Trading Transaction
Records Filed under the Securities Exchange Act of 1934, Public
Utility Holding Company Act of 1935, and Investment Company Act of
1940--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records contain
information on individuals who are required by statute or rule to
file reports concerning their beneficial ownership of certain
securities and changes in that ownership.
Categories of records in the system: The records contain the
initial information and changes regarding beneficial ownership of the
securities of certain issuers. Such information includes the name of
the reporting person, the insider control number assigned to him, the
relationship of the reporting person to the issuer of the security,
the social security number of the reporting person, the nature of the
ownership, and financial transaction data with regard to the
securities holdings of the reporting person.
Authority for maintenance of the system: Title 15, United States
Code, sections 78p, 79q, 80a-9, 80a-10, 80a-16, 80a-17, and 80a-30.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. To prepare for publication on a monthly basis the Commission's
``Official Summary'' of security transactions of insiders which is
made available for purchase by the public.
2. To prepare special reports which identify short-swing trading,
late reporting, and ownership histories.
3. To respond to requests by members of Congress and the public
for information concerning insider trading with respect to particular
issuers.
4. By SEC personnel for use in processing filings and other
documents filed with the Commission.
5. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
6. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a rountine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
7. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
11. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
12. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form and on magnetic
tape and cards.
Retrievability: Records are accessed by name and/or file number
assigned to registrant. Individual name access may be gained in
computer listing, through the Commission's Name-Relationship Index
system.
Safeguards: Records contain public information and are made
available to the public through the Official Summary, which is
published monthly. Access to the underlying records is limited to
authorized personnel. The records are kept in an office that is
locked at night and in a building having a 24-hour security guard.
Retention and disposal: These records are controlled by file number
and maintained in-house at the Commission's central record office for
three years, then transferred to the Federal Records Center for
storage. They are destroyed in accordance with the Commission's
formal Records Control Schedule outlined at 17 CFR 200.80f.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See record access procedures above.
Record source categories: Information for these records is
extracted pursuant to the applicable sections of the various
securities acts and regulations adopted pursuant thereto.
SEC-6
System name: 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.
System location: Securities and Exchange Commission, Washington, DC
20549. Records may also be maintained in SEC Regional and District
Offices.
Categories of individuals covered by the system: Records include
information concerning officers, directors and certain shareholders
of issuers required to file periodic reports with the Commission.
Categories of records in the system: The records describe lawsuits,
shareholdings, business transactions, relationships to the issuer and
other relevant material business information about the individual.
Authority for maintenance of the system: Title 15, United States
Code, sections 78m, 79n, 80a-30, and 80b-4, and rules and regulations
adopted by the Commission under the Securities Act of 1933, the
Securities Exchange Act of 1934, Public Utility Holding Company Act
of 1935, the Investment Company Act of 1940 and the Investment
Advisers Act of 1940.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following purposes:
1. By SEC staff in the processing of filings.
2. Records may be used to respond to inquiries from Members of
Congress and the public concerning an issuer; may also be used in
preparing no-action letters.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
6. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
of other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
7. A record from this system of records may be disclosed to a
Federal, State of local governmental authority, in response to its
request, in connection with the hiring or retention of an
investigation of an employee, the issuance of a security clearance,
the reporting of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
9. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
10. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form or microform.
Retrievability: Records are accessed by name and/or file number
assigned to registrant. No individual name access is provided,
although the Commission's Name-Relationship Index system cross-
indexes the names of individuals with registrants.
Safeguards: Records contain public information and are available
through the Public Reference Section. Records are maintained in
central records office, which is locked at night and the building
where the records are maintained has a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Periodic reports filed by registrants
under the applicable Federal securities laws.
SEC-7
System name: Proposed Sale of Securities Records Filed under the
Securities Act of 1933-SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records also may be maintained in SEC Regional and District
Offices.
Categories of individuals covered by the system: Records contain
information on persons for whose account securities are proposed to
be sold pursuant to rules adopted by the Commission such as Rules
144, 236, 237 and 240 under the Securities Act of 1933.
Categories of records in the system: These records contain
information about individuals who propose to sell a specific number
of securities, and include information on the class of securities,
the name of the issuer, the name of the seller, and the seller's
relationship to the issuer, the seller's social security number or
IRS tax number, and the date of the sale.
Authority for maintenance of the system: Title 15, United States
Code, sections 77c(b), 77d(1); 17 CFR 230.144; 17 CFR 230.236(c); 17
CFR 230.237(a); 17 CFR 230.240(h).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. To aid the Commission's staff in reviewing documents filed
with the Commission and for verification and recording of block sales
of securities; may also be used to respond to inquiries by Members of
Congress or the public concerning sales of securities and in
preparing no-action letters.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement
information, or after pertinent information, such as current
licenses, if necessary to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract, or the
issuance of a license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local government authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
8. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
9. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and the those matter appeared to
be relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form and on magnetic
tape and cards.
Retrievability: Records are accessed by name and/or file number
assigned to the issuer. The magnetic media is accessed by special
computer programs on a periodic basis. No individual name access is
provided, although the Commission's Name-Relationship Index system
cross-indexes names with registrants.
Safeguards: Records contain public information and are available to
the public at the Commission's Public Reference Room. Access to the
records is limited to authorized personnel. The records are
maintained in an office which is locked at night in a building which
has a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Notices of proposed sale of securities
filed under Rules 144, 236, 237, and 240 which have been promulgated
under the Securities Act of 1933.
SEC-8
System name: Proxy Soliciting Material Filed under the
Securities Exchange Act of 1934, Public Utility Holding Company
Act of 1935, and Investment Company Act of 1940.
System location: Securities and Exchange Commission, Washington, DC
20549. Duplicate copies may be maintained in SEC Regional and Branch
Offices.
Categories of individuals covered by the system: Records include
information on officers, directors and certain stockholders of an
issuer and persons other than management who are required to file
proxy soliciting material with the Commission in advance of its use.
Categories of records in the system: The records describe business
relationships and transactions of director, lawsuits, investigations,
affiliations with other companies, and other relevant personal and
business information about the individual that is material to the use
of the proxy soliciting materials.
Authority for maintenance of the system: Title 15, United States
Code, 78n, 791 and 80a-20.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By SEC personnel in connection with the processing of proxy
statements and proxy soliciting materials; may also be used to
respond to requests from Members of Congress and the public
concerning proxy contests and the necessity for accurate proxy
materials and in preparing no-action letters.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statue or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local government authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
8. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
9. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form or microform.
Retrievability: Records are accessed by name and/or file number
assigned to registrant. No individual name access is provided,
although the Commission's Name-Relationship Index system cross-
indexes individuals with registrants.
Safeguards: The records contain public information and are
available through Public Reference Section. The records are
maintained in central records office, which is locked at night and
the building where the records are maintained has a 24-hour
securities guard.
Retention and disposal: These records are retained indefinitely.
While no formal schedule exists, these records periodically are sent
to a Federal Records Center for storage.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procdedures above.
Record source categories: Information is obtained from proxy
soliciting material filed with the Commission under the Federal
securities laws.
SEC-9
System name: Correspondence Files Pertaining to Registered
Broker-Dealers--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records also are maintained in the SEC Regional and District
Offices.
Categories of individuals covered by the system: Individuals who
are registered with the Commission as broker-dealers and persons
associated with a registered broker-dealer.
Categories of records in the system: Records contain information
relating to an individual's activities and transactions as a
registered broker-dealer and information concerning the relationship
of other persons to the broker-dealer.
Authority for maintenance of the system: Title 15, United States
Code, sections 78a et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. These records are used to maintain a continuity within the SEC
as to each registered broker-dealer and to provide the SEC staff with
the background and results of earlier examinations of registered
broker-dealers as well as an insight into current regulatory
problems, if any, concerning each registrant.
2. To aid in responding to requests from Members of Congress and
the public relating to particular registered broker-dealers.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
7. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities, Investor Protection Corporation,
the federal banking authorities, including but not limited to, the
Board of Governors of the Federal Reserve System, the Comptroller of
the Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in paper form and bound in file
folders.
Retrievability: Information is indexed by name of registrant.
Information regarding individuals may be obtained through the use of
index systems.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Records are
maintained in a building that has a 24-hour security guard.
Retention and disposal: These records are controlled by file number
and maintained in-house at the Commission's central records office
for three years, then transferred to the Federal Records Center for
storage. They are destroyed in accordance with the Commission's
formal Records Control Officer outlined at 17 CFR 200.80f.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: In addition to containing correspondence
between the registered broker-dealer and the Commission, these files
include copies of staff examination reports; information also is
received from various segments in the industry and securities self-
regulatory organizations.
SEC-10
System name: Correspondence Files Pertaining to Registered
Investment Advisers--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records also are maintained by the SEC's Regional and District
Offices.
Categories of individuals covered by the system: Investment
advisers registered with the Commission and persons associated with
registered investment advisers.
Categories of records in the system: Records contain information
relating to an investment adviser, his business, his compliance with
provisions of the Federal securities laws. Records also include
information on persons associated with investment advisers.
Authority for maintenance of the system: Title 15, United States
Code, sections 78d, 80b-1 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. By SEC personnel to determine whether a registered investment
adviser is complying fully with applicable requirements.
2. To aid in responding to requests from Members of Congress and
the public concerning the status of a registered investment adviser.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one more of its members.
7. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exhanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regularory or law enforcement agencies of a foreign government.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records of information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are maintained in paper form and bound in a
file folder.
Retrievability: Information is indexed by name of the registrant.
Information regarding individuals may be obtained through the
Commission's Name--Relationship Index system.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Records are
maintained in a building that has a 24-hour security guard.
Retention and disposal: These records are controlled by file number
and maintained in-house at the Commission's central records office
for three years, then transferred to the Federal Records Center for
storage. They are destroyed in accordance with the Commission's
formal Records Control Officer outlined at 17 CFR 200.80f.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: In addition to containing correspondence
between the investment adviser and the Commission, these files
include copies of staff examination reports, information received
from various segments of the industry, including the financial press
and other items pertaining to each individual investment adviser or
to any complex of investment companies with which it is affiliated.
SEC-11
System name: Correspondence Files Pertaining to Registered
Investment Companies--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records are also maintained by SEC Regional and District
Offices.
Categories of individuals covered by the system: Individuals
associated with registered investment companies.
Categories of records in the system: Records contain information
relating to an individual's relationships and transactions with a
registered investment company.
Authority for maintenance of the system: Title 15, United States
Code, sections 78(b) and 80a-1 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. By SEC personnel to monitor compliance with the provisions of
the Investment Company Act of 1940.
2. To aid in responding to requests from Members of Congress and
the public relating to particular registered investment companies.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred as a routine use, to
the appropriate agency, whether Federal, State, local, foreign or a
securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
7. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to any agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in paper form and bound in a file
folder.
Retrievability: Information is indexed by name of registrant.
Information regarding individuals may be obtained through the use of
index systems and the Commission's Name-Relationship Index system.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Records are
maintained in a building that has a 24-hour security guard.
Retention and disposal: These records are controlled by file number
and maintained in-house at the Commission's central records office
for three years, then transferred to the Federal Records Center for
storage. They are destroyed in accordance with the Commission's
formal Records Control Officer outlined at 17 CFR 200.80f.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: In addition to containing correspondence
between the registered investment company and the Commission, these
files include copies of staff examination reports, information
received from various segments of the industry, including the
financial press and other items pertaining to each individual
investment company or to the complex of investment companies with
which it is affiliated.
SEC-12
System name: Hearings, Proceedings and Studies--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Duplicate copies of these records may be maintained by SEC
Regional and District Offices.
Categories of individuals covered by the system: Records are
maintained on persons who testify, submit statements or otherwise
participate in Commission hearings or proceedings such as the
Commission Rate Hearings and hearings held in connection with the
Institutional Investor Study.
Categories of records in the system: Records include transcripts of
testimony and documents filed by witnesses and others in such
hearings or proceedings.
Authority for maintenance of the system: Title 15, United States
Code, Section 77s, 77t(a), 77(u), 78s, 78u, 78v, 79s, 79t, 77sss,
77ttt, 77uuu, 80a-37, 80a-38, 80a-39, 80a-40, 80b-11 and 80b-12.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information in these records may be used as follows:
1. To assist the Commission in developing regulatory and
enforcement policies to carry out its functions under the Federal
securities laws.
2. To assist the Commission in preparing studies and analyses to
be transmitted to the Congress and make public concerning matters
within the Commission's jurisdiction or matters that may be
appropriately committed to the Commission's jurisdiction.
3. In connection with investigations by the Commission into
possible violations of the Federal securities laws.
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.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form.
Retrievability: Individual name access is provided through the SEC
Name-Relationship Index system.
Safeguards: Records generally are available for public inspection.
They are kept in an office that is locked at night and in a building
having a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Transcripts of hearings, documents,
reports and other submissions made to the SEC.
SEC-13
System name: No-action and Interpretative Letters--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records are
maintained on persons requesting interpretative advice from the
Commission's staff regarding statutes administered by the Commission,
or requesting a statement that the Commission's staff will not
recommend any enforcement action based on the facts presented.
Categories of records in the system: Records contain
interpretations of the Federal securities laws as they apply to a set
of facts that have been presented by an individual or company. The
facts given may describe the individual's relationships with the
company or his role in the transaction or give other details
concerning individuals.
Authority for maintenance of the system: Information is voluntarily
submitted by the person requesting the no-action or interpretative
letter.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By SEC personnel to process requests for no-action or
interpretive positions.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
5. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
7. To respond to inquiries from Members of Congress and the
public concerning the applicability of the Federal securities laws to
particular situations.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 201.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 200.735-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained as part of the general files of the
Commission in hard copy form.
Retrievability: Individual name access is provided in cross-
reference index maintained in the Classification Unit of the Office
of Records.
Safeguards: No-action and interpretative letters are generally made
availabile to the public (See 17 CFR 200.81) and are available
through the Commission's Public Reference Section. Except for public
disclosure, access to these records is limited to authorized
individuals and the records are kept in a locked office in a building
having a 24-hour security guard.
Retention and disposal: These records are transferred to the
Federal Reocrds Center periodically for storage. They are controlled
by file number and disposed of in accordance with the Commission's
formal Records Control Schedule outlined at 17 CFR 300.80f. Certain
files that have been categorized as permanent are retired to the
National Archives and Records Administration after the designated
storage period at the Federal Records Center.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Communications sent to the Commission's
staff requesting interpretations or no-action position.
SEC-14
System name: Administrative Audit System--SEC.
System location:
Securities and Exchange Commission, Operations Center, 6432
General Green Way, Mail Stop O-3, Alexandria, VA 22312-2413.
Categories of records in the system: The individual's company, or
agency name, the object and/or service provided, the cost and/or
periodic rental charge, any and all necessary contractual language on
purchase orders, contracts, invoices, travel authorizations, and
other miscellaneous forms.
Authority for maintenance of the system: 31 U.S.C. 35.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. To insure that all obligations and expenditures other than
those in the pay and leave system are in conformance with laws,
existing rules and regulations, and good business practice.
2. To maintain subsidiary records at the proper account and/or
organizational level where responsibility for control of costs
exists, giving due consideration to the fixed and variable cost
characteristics of each cost category.
3. To provide appropriate audit documentation for Treasury, GAO,
other appropriate agencies and for agency use. 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.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
A-19 at any stage of the legislative coordination and clearance
process as set forth in that circular.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Appropriate accounting data is stored in electronic media and
paper form (e.g., purchase orders, memoranda, subsidiary ledgers,
invoices, and other miscellaneous records).
Retrievability:
These records are retrieved by the individual's name or social
security number.
Retention and disposal:
The records are maintained and disposed of in accordance with the
General Services Administration, General Records Schedule 6, 7, 9,
and 20.
System manager(s) and address:
Associate Executive Director (Finance), Office of the
Comptroller, Securities and Exchange Commission, Operations Center,
6432 General Green Way, Mail Stop O-3, 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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
Contesting record procedures: See record access procedures above.
Record source categories: The sources for the records are purchase
orders, vouchers, invoices, contracts, and electronic records (e.g.,
Travel Manager, Frequent Travel Solutions, Inc.) or other paper
records submitted by employees, vendors, and other sources, including
claims filed by witnesses in SEC actions.
SEC-15
System name:
Pay and Leave System.
System location:
(1) Payroll files, official personnel files, time and attendance
reports, and service history files: SEC, Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413;
(2) Notices of personnel action and other pay-related records:
Department of the Interior, National Business Center, Payroll
Operations Division, Mail Stop D-260, 7301 West Mansfield Avenue,
Lakewood, CO 80235-2230; and
(3) Retired personnel files: National Archives and Records
Administration, National Personnel Records Center (Civilian Personnel
Records Center), 111 Winnebago Street, St. Louis, MO 63118.
Categories of individuals covered by the system:
Past and present SEC employees.
Categories of records in the system:
Payroll files, time and attendance reports, official personnel
files, and service history files.
Authority for maintenance of the system:
5 U.S.C. app. 21-89.
Purpose(s):
To locate SEC employees and determine such matters as their
period of service, type of leave, qualifications, benefits, and pay.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), the SEC staff may provide these records to:
(1) The National Business Center of the U.S. Department of the
Interior;
(2) Any Federal, state, or local government compiling tax
withholding, retirement contributions, or allotments to charities,
labor unions, and other authorized recipients;
(3) Any Federal governmental authority or its agents
investigating (a) a violation or potential violation of a statute,
rule, regulation, or order, or (b) an employee's grievance or
complaint;
(4) Any member of the public for employment verification at an
employee's written request;
(5) Any judgment creditor for the purpose of garnishment;
(6) Any arbitrator under a negotiated labor agreement;
(7) The General Accounting Office, the Office of Management and
Budget, and other Federal agencies to support payments of salaries
and benefits to SEC employees; and
(8) The Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services, the
Federal Parent Locator System and the Federal Tax Offset System to
(a) locate individuals, (b) identify income sources, (c) establish
paternity, (d) verify social security numbers or employment, (e)
issue, modify, or enforce orders of support, or (f) administer the
Federal Earned Income Tax Credit Program.
Policies and practices forstoring, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Payroll files, official personnel files, and time and attendance
reports are kept in paper or electronic format.
Retrievability:
Official personnel files and payroll files are retrievable by an
employee's name or social security number.
Safeguards:
Only authorized employees of the SEC and other Federal government
agencies may access these records.
Retention and disposal:
These records are maintained and disposed of under General
Records Schedule Nos. 2 and 20 of the General Services
Administration.
System manager(s) and address:
Office of Administrative and Personnel Management, SEC,
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedure:
Persons wishing to access or contest these records should write
the Privacy Act Officer, SEC, Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Record Access Procedures, above.
Record source categories:
Notices of personnel action, electronic time and attendance
records, withholding certificates, and other pay-related records
prepared by employees or the Office of Administrative and Personnel
Management.
Exemptions claimed for the system:
None.
SEC-16
System name: Administrative Law Judge Assignments and
Dispositions of Administrative Proceedings--SEC.
System location: Securities and Exchange Commission, 450 Fifth
Street, NW, Washington, DC 20549.
Categories of individuals covered by the system: Records are
maintained on Administrative Law Judges.
Categories of records in the system: The records identify each
pending administrative proceeding and the administrative law judge to
whom it is assigned. They also contain statistical data relating to
number of assignments and the time involved in disposition of
assignments.
Authority for maintenance of the system: Title 15, United States
Code, section 78d; Pub. L. 87-592, 76 Stat. 394; 17 CFR 200.30-9.
200.30-10.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: The records and
the information in the records may be used as follows:
1. To determine workload and accomplishment of each
administrative law judge.
2. To aid the Chief Administrative Law Judge in determining
appropriate assignments to administrative proceedings.
3. To aid in projecting budget requirements for the Office of
Administrative Law Judges.
4. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders and are
compiled in typewritten form.
Retrievability: The system is indexed by the name of administrative
law judge.
Safeguards: The records are stored in private office of the Chief
Administrative Law Judge. Physical security is provided by a 24-hour
security guard at the main entrance to the building.
Retention and disposal: Records are maintained for at least a ten
(10) year period, after which they are disposed of by shredding.
System manager(s) and address: Chief Administrative Law Judge,
Securities and Exchange Commission, 450 Fifth Street NW, Washington,
DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See record access procedures above.
Record source categories: Information is obtained from orders
issued to individual administrative law judges by Chief
Administrative Law Judge and from information and reports submitted
to Chief Administrative Law Judge by individual administrative law
judges.
SEC-17
System name: Minutes Regarding Action Taken by the Commission-
SEC.
System location: Securities and Exchange Commission, 450 Fifth
Street NW, Washington, DC 20549.
Categories of individuals covered by the system: Individuals who
are the subject of official action taken by the SEC, including
individuals who are named defendants or respondents in civil actions
or administrative proceedings brought by the Commission.
Categories of records in the system: Records are maintained on
official matters that are considered by the SEC and action taken
thereon. They describe the matter presented, any recommendations of
the staff, and identify the Commissioners present and voting.
Authority for maintenance of the system: Title 15, United States
Code, section 78d(b)
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information in the records may be sued as follows:
1. In response to requests from Members of Congress, other
Federal or State or local governmental authorities or securities
self-regulatory organizations to indicate the official action of the
Commission on a particular matter.
2. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
3. They are distributed to senior supervisory personnel on the
Commission's staff for informational purposes.
4. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained on magnetic cards and in a
Bowne Word One System.
Retrievability: These records are indexed by name.
Safeguards: Minutes are kept in locked safe. Index cards are kept
in locked card files and the building in which these records are
located has a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address: Secretary, Securities and Exchange
Commission, 450 Fifth Street NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Records are compiled at meetings of the
Commission.
SEC-18
System name: Applications for Relief From Disqualification Filed
Under the Securities Act of 1933 and the Commission's Rules of
Practice.
System location: Securities and Exchange Commission, Washington, DC
20549. Applications for relief from disqualification under Regulation
A may be maintained by the SEC Regional and District Offices.
Categories of individuals covered by the system: The records
contain information with respect to attorneys, accountants, and other
professionals seeking relief from SEC orders suspending or barring
them from appearing or practicing before the SEC or imposing some
other sanction or requirements under the Commission's rules of
practice and information concerning officers, directors, principal
shareholders, promoters, partners, underwriters, and other persons
associated with the registrant who are seeking to vacate or modify
any disqualification imposed by the Commission.
Categories of records in the system: Records contain information
pertaining to SEC orders which temporarily or permanently suspend
attorneys, accountants, and other professionals from appearing or
practicing before the SEC or otherwise sanction them pursuant to the
Commission's rules of practice. Also contain the individual's
application for relief of disqualification under the rules of
practice and applications for relief from disqualifications under the
Securities Act of 1933.
Authority for maintenance of the system: Title 15, United States
Code, sections 77c, 77s, 78w, 79t, 77sss, 80a-37, and 80b-11; 17 CFR
202.2(e); 17 CFR 230.252(f).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. By the Commission's staff to process requests for relief from
SEC orders or disqualification or disqualifications imposed by or
from provisions of applicable Federal securities laws and rules
promulgated thereunder.
2. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
3. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
4. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form in individual
files.
Retrievability: Records are accessed by name of individual or
issuer or registrant.
Safeguards: Applications for relief from disability under
Regulations A and F of the Securities Act of 1933 are made available
to the public. Information regarding Rule 2(e) of the Commission's
rules of practice is non-public. Access to and use of these records
are limited to those persons whose official duties require such
access. Personnel screening is employed to prevent unauthorized
disclosure. All records are kept in an office that is locked at night
and in a building having a 24-hour security guard.
Retention and disposal: 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.
System manager(s) and address: 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.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Information concerning individuals is
extracted from applications filed with the Commission for relief from
disqualifications.
SEC-19
System name: Division of Corporation Finance and Support Office
Working Files--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records are
maintained on officers, directors, shareholders, and other persons
having relationships with registrants.
Categories of records in the system: The information in the system
generally includes material concerning registrants filed with the SEC
under the Securities Act of 1933 and the Securities Exchange Act of
1934 and may describe relationships or transactions named individuals
may have with such registrants.
Authority for maintenance of the system: Title 15, United States
Code, sections 77e, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p;
77eee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. To process registration statements, proxy statements, periodic
reports and other reports required by statute or rule to be filed
with the Commission.
2. To aid in responding to inquiries from Members of Congress,
the press and the public regarding registrants.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. In any proceeding where the federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
7. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice. 17 CFR 201.2(e).
8. A record from this system of records may be disclosed as a
``routine use'' to a federal, state or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system or records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
A record or information in this system may be disclosed to any
person with whom the Commission contracts to reproduce, by typing,
photocopy or other means, any record within this system for use by
the Commission and its staff connection with their official duties or
to any person who is utilized by the Commission to perform clerical
or stenographic functions relating to the official business of the
Commission.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.735-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are maintained in hard copy form and stored on
shelving.
Retrievability: The records are indexed by the name of the
registrant. The Commission's Name-Relationship Index system, however,
cross-indexes names of individuals with the names of registrants.
Safeguards: Access to these files is limited to authorized persons.
The records are maintained in a building that has a 24-hour security
guard.
Retention and disposal: These records are retained indefinitely.
While no formal schedule exists, these records periodically are sent
to a Federal Records Center for storage.
System manager(s) and address: Director, Division of Corporation
Finance, Securities and Exchange Commission, 450 Fifth Street, NW,
Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: The information is obtained through
informal meetings and conversations with registrants and their
representatives; documents that are filed with the Commission;
communications from other members of the Commission's staff;
publications; notes and letters from registrants, their counsel, and
other interested persons, including shareholders, investors, and
individuals including where practicable those to whom the information
relates, and internal working papers prepared by members of the
staff.
SEC-20
System name: Division of Corporation Finance Index for Filings
on Schedule 13D and Filings under Regulations A and B--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: The categories of
individuals on whom records are maintained in the system are (1) all
persons filing a Schedule 13D, and (2) all persons filing as
registrants under Regulations A or B.
Categories of records in the system: The information in this system
indicates whether individuals have filed a Schedule 13D and if so for
what registrants. It also indicates whether or not such individuals
have filed as registrants in offerings under Regulation A or B.
Authority for maintenance of the system: Title 15, United States
Code, sections 77c(b), 78m(d) and 78n(d).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By SEC personnel to maintain a control system over such public
filings; to determine whether named persons have made such filings;
and to verify information concerning such filings, as such
information may be disclosed in other filings.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or other issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
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. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
To aid in responding to requests for information from Members of
Congress, the press and the public concerning such filings and
offerings.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are maintained on index cards.
Retrievability: The record for schedule 13D is indexed
alphabetically both by name of the bidder and the registrant. The
Regulation A and B records are indexed by the name of the registrant.
The SEC Name-Relationship Index system cross indexes the names of
individuals with the names of registrants.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. The records
are maintained in a building that has a 24-hour security guard.
Retention and disposal: Records are maintained indefinitely.
System manager(s) and address: Director, Division of Corporation
Finance, Securities and Exchange Commission, 450 Fifth Street NW,
Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: The information is extracted from
Schedule 13D filings and Regulation A and B filings, which are
required by regulation to contain specified information concerning
certain individuals.
SEC-21
System name: Division of Investment Management Correspondence
and Memoranda Files--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: The records
concern individuals who have requested ``no-action'' or interpretive
advice and general correspondence from investment advisers and
persons associated with them or investment companies.
Categories of records in the system: The records contain
interpretation of the Federal securities laws as they apply to a
certain set of facts. Facts may describe the individual's
relationship to a company or his role in a transaction. Addresses of
individuals are included in the records.
Authority for maintenance of the system: Most of the information in
the files was submitted voluntarily. To the extent that information
was solicited, such solicitation was done in reliance upon the
Commission's general power to enforce the Investment Company Act, 15
U.S.C. 80a-41, the Investment Advisers Act, 15 U.S.C. 806-9, the
Securities Exchange Act of 1934, 15 U.S.C. 78u, and the Securities
Act of 1933, 15 U.S.C. 77s.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By the staff to aid in processing current requests for no-
action or interpretative letters.
2. To assist in processing registration statements and reports
and other documents filed with the Commission under the Investment
Company Act or the Investment Advisers Act.
3. To respond to inquiries from Members of Congress, the press or
the public concerning matters arising under the Investment Company
Act and the Investment Advisers Act.
4. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
5. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
6. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
7. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
11. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
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.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Index cards and paper copies of memoranda and items of
correspondence are kept in file cabinets.
Retrievability: These records are indexed by name of registrant.
Cross-indexing to individuals is available through the Commission's
Name-Relationship Index system.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. They are
maintained in a building having 24-hour security guards.
Retention and disposal: Records are maintained indefinitely.
System manager(s) and address: Director, Division of Investment
Management, Securities and Exchange Commission, 450 Fifth Street NW,
Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Personal information primarily is
supplied by the individual. Some information may be supplied from
other SEC personnel as a result of an investigation, litigation or
documents filed by the individual or including information about the
individual that are filed by an investment company or investment
adviser.
SEC-22
System name: Executive/Congressional Personnel Referrals--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records are
maintained on applicants for employment.
Categories of records in the system: Records contain names of
applicants, Members of Congress or other individuals who recommend
specified individuals for employment and the basis for the
recommendation.
Authority for maintenance of the system: Records are unsolicited.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. To identify candidates for current and prospective job
vacancies within the Commission.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are stored in paper form in file folders and
storage cabinets.
Retrievability: Records are indexed by name.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. Records are
kept in a building having a 24-hour security guard.
Retention and disposal: Records are kept for three years.
System manager(s) and address: Executive Director, Securities and
Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Records are obtained from persons in the
executive and legislative branches of the Federal government and in
some cases persons in State governments.
SEC-23
System name: Staff Time and Activity Tracking System (STATS)--
SEC.
System location: Securities and Exchange Commission, Office of the
Executive Director, Securities and Exchange Commission, 450 Fifth
Street NW, Washington, DC 20549.
Categories of individuals covered by the system: Past and current
SEC employees.
Categories of records in the system: The records are computerized
and contain information about Commission employees including the
employee's name, employee identification number, hours worked during
each week, compensation data, and work-activity classifications for
each week.
Authority for maintenance of the system: Applicable sections in
chapters 21 through 89 of Title 5 of the United States Code.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
information in the records be used:
1. As a data source for management information for production of
summary descriptive statistics and analytical studies reflecting the
Commission's allocations of cost and man-hours by budget activity.
Reports generated by this system are used by the Commission and the
staff to substantiate requests to Congress and others for personnel
allocation and utilization; may also be utilized to respond to
general requests for statistical information (without personal
identification of individuals) under the Freedom of Information Act
or to locate specific individuals for personnel research or other
personnel management functions.
2. For any court litigation or administrative action involving
review of personnel action.
3. For responding to requests from Members of Congress or the
Executive branch or other agencies for statistical information
concerning manpower utilization and needs.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are maintained in file folders and on magnetic
media.
Retrievability: The records are indexed by the employee's
identification number and name.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Retention and disposal: File folders may be destroyed by the
organizations compiling the information after three weeks. Magnetic
media are maintained on a permanent basis. Tape and disk files on
which data is stored are available only through the librarian or
chief of operations of the Office of Information Technology. Back-up
master files on tape are stored in the Federal Record Center in
Suitland, Maryland.
System manager(s) and address: Chief Management Analyst, Office of
the Executive Director, Securities and Exchange Commission, 450 Fifth
Street NW, Washington, DC 20549.
Notification procedure: All requests to determine whether this
system of records contains a record pertaining to the requesting
individual may be directed to the Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop )-5, Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Contesting record procedures: See Record access procedures above.
Record source categories: The data sources are the weekly staff
activity reporting forms submitted by the individual employees of the
SEC. The Pay-Time-Leave System is accessed for the compensation
information relating to the employee.
SEC-24
System name: Freedom of Information Act Requests--SEC.
System location: Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Alexandria, VA 22312-2413.
Categories of individuals covered by the system: Records are
maintained on persons requesting files, documents or other
information from the Commission pursuant to provisions of the Freedom
of Information Act, 5 U.S.C. 552 et seq., as amended.
Categories of records in the system: Records identify the
individual requesting access to information, and the information
sought and also may describe the individual's reasons for seeking the
information.
Authority for maintenance of the system: 5 U.S.C. 552, et seq., as
amended.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. By SEC personnel to process requests made under the Freedom of
Information Act, as amended.
2. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
3. In connection with any litigation challenging or seeking to
enjoin actions by the Commission under the Freedom of Information
Act, as amended.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in hard copy form.
Retrievability: These records are indexed by name. Access to and
use of these records is limited to those persons whose duties require
such access.,
Safeguards: These records are kept in a locked office in a building
having a 24-hour security guard.
Retention and disposal: Records are retained according to the
General Records Schedule, published by the National Archives and
Records Administration.
System manager(s) and address: Freedom of Information Act Officer,
Office of Freedom of Information and Privacy Act Operations,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop 0-5, 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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Communications from individuals for
information pursuant to the Freedom of Information Act, as amended.
SEC-25
System name: Office of Public Affairs, Policy Evaluation and
Research Records--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records may be maintained by regional and branch offices.
Categories of individuals covered by the system: Records are
maintained on SEC Commissioners and other SEC officials, business and
financial reporters and editors.
Categories of records in the system: Records include speeches by
Commissioners and other Commission officials; telephone numbers and
addresses of reporters and editors.
Authority for maintenance of the system: Information is given
voluntarily to the Office of Public Affairs.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. To contact members of the press when information of interest
to their respective publications is made public.
2. To respond to requests for copies of speeches given by SEC
Commissioners.
3. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The speeches are kept in a filing cabinet and the press
list is kept in a card index box.
Retrievability: Speeches are indexed by name and date. The press
list is indexed by name and publication.
Safeguards: Office of Public Affairs is locked after working hours.
The building where the records are maintained has a 24-hour security
guard.
Retention and disposal: Records are kept indefinitely.
System manager(s) and address: Director, Office of Public Affairs,
Policy Evaluation and Research, Securities and Exchange Commission,
450 Fiofth Street NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Information is given voluntarily by
reporters and editors and persons requesting copies of speeches.
SEC-27
System name: Name-Relationship Search System (NRS).
System location:
Securities and Exchange Commission, Operations Center, 6432
General Green Way, Mail, Stop O-4, Alexandria, VA 22312-2413.
Categories of individuals covered by the system:
Records are maintained on principals and other individuals listed
in filings by corporate issuers of securities; principals and other
individuals listed in applications for registration and amendments
thereto filed by broker-dealers, investment advisers, transfer agents
(non-bank), municipal securities dealers (which are banks or
separately identifiable departments or divisions of banks), clearing
agencies (non-bank), and securities information processors;
individuals who are required to file ownership reports as corporate
insiders; individuals who are the subjects of matters under inquiry;
individuals including defendants, respondents and witnesses, named in
investigations and enforcement actions relating to securities
violations; and individuals listed in filings by self-regulatory
organizations regarding the entry or re-entry of statutorily
disqualified persons into the securities business. Records are also
maintained on persons who are the focus of general inquiries or
complaints to the Commission.
Categories of records in the system:
The records are computerized and contain index information that
relates the names of the individual to the docketed name of the
formal filing or the case name when an enforcement or litigation
proceeding is involved. The records include the SEC file numbers,
date, information on the relationship, the social security number of
the individual (if available), disposition of cases (if available),
and violations alleged (if any).
Authority for maintenance of the system:
Title 15, United States Code, sections 77e, 77f, 77j, 77g, and
77o; 78f, 78l, 78m, 78o, 78o-1, 78p, 78q-1, and 78u; 79c, 79f, 79g,
79r, and 79s; 77eee, 77mmm, 77nnn, 77ttt, and 77uuu; 80a-8, 80a-20,
80a-29, 80a-32; 80a-40; 80a-44, and 80a-45; 80b-3, 80b-4, 80b-12, and
80b-16.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records may be used as follows:
1. By authorized SEC personnel in connection with their official
functions including, but not limited to, the processing of documents
filed with the Commission, the conduct of investigations into
possible violations of the Federal securities laws, and other matters
relating to the Commission's regulatory and law enforcement
functions.
2. To conduct name searches upon the request of authorized
individuals in other governmental agencies (Federal, State, local or
foreign), or securities self-regulatory organizations for purposes of
carrying out their designated functions.
3. Where there is an indication of a violation or potential
violations of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
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. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
6. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
7. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to any agency decision
concerning the hiring or retention of any employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
8. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the firing or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
9. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
10. To aid in responding to inquiries from Members of Congress,
the press and the public concerning matters that are within the
Commission's jurisdiction.
11. In connection with the regulatory and enforcement
responsibilities mandated by the Federal securities laws, or State or
foreign laws regulating securities or other related matters, records
in this system of records may be disclosed to national securities
exchanges and national securities associations that are registered
with the Commission, the Municipal Securities Rulemaking Board, the
Securities Investor Protection Corporation, the Federal Banking
authorities, including but not limited to the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation, State Securities regulatory or
law enforcement agencies or organizations, or regulatory or law
enforcement agencies of a foreign government.
12. Records in this system may be disclosed as routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws or the Commission's rules
of practice, 17 CFR 201.1 et seq. or otherwise, where such trustee,
receiver, master, special counsel or other individual or entity is
specifically designated to perform particular functions with respect
to, or as result of, the pending action or proceeding or in
connection with the administration and enforcement by the Commission
of the Federal securities laws or the Commission's rules of practice.
13. Records in this system may, in the discretion of the
Commission's staff, be disclosed to any person during the course of
any inquiry or investigation conducted by the Commission staff, or in
connection with civil litigation, if the staff has reason to believe
that the person to whom the record is disclosed may have further
information about the matters related therein, and those matters
appeared to be relevant at the time to the subject matter of the
inquiry.
14. A record or information in this system may be disclosed to
any person with whom the Commission contracts to reproduce, by
typing, photocopy or other means, any record within this system for
use by the Commission and its staff in connection with their official
duties or to any person who is utilized by the Commission to perform
clerical or stenographic functions relating to the official business
of the Commission.
15. Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in Federal securities laws.
16. Records or information in records contained in this system
may be disclosed to members of advisory committees that are created
by the Commission or by the Congress to render advice and
recommendations to the Commission or to the Congress, to be used
solely in connection with their official, designated functions.
17. Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 200.735-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws, in the preparation or
conduct of enforcement actions brought by the Commission for such
violations, or otherwise in connection with the Commission's
enforcement or regulatory functions under the Federal securities
laws.
18. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are maintained on magnetic disk and tape.
Retrievability:
Information is retrieved by the name of the individual or by
certain Commission identification numbers. Access for inquiry
purposes is via a computer terminal. NRS contains index data from
several SEC data bases, and several systems of records separately
published pursuant to the Privacy Act. However, the NRS system may be
used to directly access the orginal data in these other data bases or
systems of records.
Safeguards:
Access to NRS must be authorized by the division or office head
or by a member of the staff pursuant to delegated authority. Direct
data access via computer terminals is restricted to certain
authorized personnel.
Retention and disposal:
A record of search transactions is maintained on magnetic storage
media. Computer tape and disk files, on which the data is stored, are
available only through the librarian or chief of operations of the
Office of Information Technology. Backup master files on tape are
stored at a secured auxiliary SEC storage facility. Records are
maintained indefinitely at this time.
System manager(s) and address:
Associate Executive Director, Office of Information Technology,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, mail Stop O-4, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, mailk Stop O-5,
Alexandria, VA 22312-2413.
Contesting record procedures:
See Record access procedures above.
Record source categories:
The sources include filings made by issurers, broker-dealers,
investment advisers, insiders, self-regulatory organizations, and
others; documents relating to matters under inquiry; and enforcement
actions. The enforcement documents are comprised of SEC opinions and
orders, recommendations from SEC enforcement officials for
institution of docketed investigations, court pleadings, and findings
and orders issued by State and Federal courts, State securities
boards, national securities exchanges, and self-regulatory
organizations, and individuals, including the individual to whom the
information relates. Information may also be received from other
State, local or foreign law enforcement or regulatory organizations,
as well as complaint letters received by the Commission.
SEC-28
System name: Office of the Chief Accountant Working Files-SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Accountants and
accounting firms.
Categories of records in the system: The records contain
information pertaining to accounting practices, problems, and
opinions and information concerning the activities of individual
accountants in connection with whether they should be named in a
Commission enforcement action or in a proceeding pursuant to the
Commission's rules of practice.
Authority for maintenance of the system: Title 15, United States
Code, Sections 77g, 78l(b), 17 CFR 200.22.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. To assist that Office in performing the functions assigned to
it by the Commission (See 17 CFR 200.22) including the formulation of
accounting policies to be applicable in the case of documents
required to be filed with the Commission.
2. To respond to inquiries from Members of Congress, the press
and the public concerning accounting matters.
3. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
4. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
6. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
7. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
9. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
10. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currenty, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 200.735-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: File index cards and file folders.
Retrievability: Alphabetically by individual, subject, and firm.
Information with respect to individuals is available through the
Commission's Name-Relationship Index system.
Safeguards: Records are kept in locked filing cabinets and
maintained in a building which has a 24-hour security guard.
Retention and disposal: Records are retained indefinitely.
System manager(s) and address: Chief Accountant, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Notification procedure: 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.
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 Privacy Act Officer, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Contesting record procedures: See Record access procedures above.
Record source categories: The information contained in the system
is derived from official SEC records, letters and inquiries from the
public, SEC staff memoranda, which may include information derived
from investigations, litigation, and other submissions, and
professional auditing and accounting literature and information
received from individuals including where practicable those to whom
the records relate.
SEC-29
System name:
Agency Correspondence Tracking System (ACTS)-SEC.
Subsystem A: Investor/Consumer Correspondence Files.
Subsystem B: Chairman Correspondence Files.
Subsystem C: Public Reference Branch Correspondence Files.
Subsystem D: ACTS Computerized Records.
System location:
Records in this system are located at Headquarters, Securities
and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
Also, records covered by Subsystem A are received by and maintained
in the Commission's Regional and District Offices, whose addresses
are listed below under System Manager(s) and Address(es).
Categories of individuals covered by the system:
Subsystem A: Records are maintained on members of the public and
others who submit inquiries or make complaints to the Commission,
generally, or who address their correspondence to the Office of
Investor Education and Assistance or the Commission's Regional or
District Offices.
Subsystem B: Records are maintained on members of the public,
members of Congress or their staff, and others who address their
inquiries or complaints to the Commission's Chairman.
Subsystem C: Records are maintained on members of the public who
submit requests for copies of, or review of records accessible
through the Commission's Public Reference Branch.
Subsystem D: Computerized records are comprised of data collected
in all of the above subsystems.
Categories of records in the system:
Both electronic and paper records in this system/subsystems
contain the name of the complainant/inquirer/requester or their
representative, the name of the entity and/or subject of the
complaint/inquiry/request, the date relating to the disposition of
the complaint/inquiry/request and, where applicable, the type of
complaint/inquiry/request and other information derived from or
relating to the complaint/inquiry/request. Paper records may include,
but are not limited to letters of complaint/inquiry/request,
responses, and related documentation.
Authority for maintenance of the system:
15 U.S.C. 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 78ll(d), 79t, 80a-
37, and 80b-11.
Purpose(s):
The records will be used by the staff to track and process
complaints/inquiries/requests from members of the public and others.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and the information contained in these records may
be used as follows:
(1) To respond to inquiries from individuals who have submitted
complaints/inquiries/requests, or from their representatives,
concerning the status of the particular complaint/inquiry/request;
(2) To provide information to entities against whom complaints/
inquiries are directed when Commission staff requests them to
research the issues raised and report back to the staff;
(3) To respond to inquiries from the White House, Congressional
committees, the General Accounting Office, General Services
Administration or the National Archives and Records Administration,
or others charged with monitoring the work of the Commission or
conducting records management inspections under authority of 44
U.S.C. 2904 and 2906;
(4) To provide information to other Federal or State government
agencies, or securities self-regulatory organizations which have more
direct jurisdiction over the subject matter of the complaint/inquiry/
request;
(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; and
(7) To provide information to a Federal, State, local, or foreign
government or foreign securities authority, in response to its
request, in connection with civil, criminal, or other enforcement
information, the hiring or retention of an employee, the issuance of
a security clearance, the reporting of an investigation of an
employee, the letting of a contract, or the issuance of a license,
grant, or other benefit by the requesting agency, to the extent that
the information is relevant and necessary to the requesting agency's
decision on the matter.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Subsystems A, B, and C: These records are maintained in hard copy
form by assigned file number, and certain elements of the data are
extracted and tracked in computerized form through ACTS. The
computerized records can be accessed by the individual's name or
other indexed criteria.
Subsystem D: These records are maintained in an on-line database
and on data cartridges.
Retrievability:
By use of the computerized records in Subsystem D, the paper
files in Subsystems A, B, and C are retrievable by the name of the
complainant/inquirer/requester, receipt date of the complaint/
inquiry/request, name of the registered representative or associated
person named in the complaint/inquiry/request, or the name of the
entity/issuer that is the subject of the complaint/inquiry/request.
Safeguards:
Access to and use of these records are limited to those persons
whose official duties require such access. Personnel screening is
employed to prevent unauthorized disclosure. These records are
maintained in office files in a building that has a 24-hour security
guard.
Retention and disposal:
Subsystem A:Paper records are retained in-house for two (2) years
from the office's date of receipt of the complaint/inquiry then
transferred to the Federal Records Center for storage. Records sent
to the Federal Records Center that do not relate to law enforcement
matters are maintained for two (2) additional years (for a total of
four (4) years from the office's date of receipt). Paper records that
do relate to an enforcement matter are maintained for an additional
four (4) years at the Federal Records Center for a total of six (6)
years from the office's date of receipt.
Subsystem B: Paper records are maintained in-house upon
expiration of the Chairman's tenure in office. In accordance with 17
CFR 200.80f, certain files are forwarded to the Federal Records
Center or transferred to the National Archives and Records
Administration.
Subsystem C:Paper records are maintained in-house for six months
from the office's date of receipt and destroyed periodically
thereafter.
Subsystem D:A computerized record of searches and transactions is
maintained in an on-line database and on data cartridges. Electronic
records are maintained indefinitely. Database files are saved on the
cartridges, which are sent to the Commission's off-site storage
vendor.
System manager(s) and address:
Subsystem A: Office of Investor Education and Assistance,
Securities and Exchange Commission, 450 Fifth Street, NW, Washington,
DC 20549;
Assistant Regional Director, Northeast Regional Office, 7 World
Trade Center, Suite 1300, New York, NY 10048; District Administrator,
Boston District Office, 73 Tremont Street, Suite 600, Boston, MA
02108-3912; District Administrator, Philadelphia District Office, The
Curtis Center, 601 Walnut Street, Suite 1005 East, Philadelphia, PA
19106-3322;
Assistant Regional Director, Southeast Regional Office, 1401
Brickell Avenue, Suite 200, Miami, FL 33131; District Administrator,
Atlanta District Office, 3475 Lenox Road, NE, Suite 1000, Atlanta, GA
30326-1232;
Assistant Regional Director, Midwest Regional Office,
Northwestern Atrium Center, 500 W. Madison Street, Suite 1400,
Chicago, IL 60661-2511;
Assistant Regional Administrator, Central Regional Office, 1801
California Street, Suite 4800, Denver, CO 80202-2648; District
Administrator, Fort Worth District Office, 801 Cherry Street, Suite
1900, Fort Worth, TX 76102; District Administrator, Salt Lake
District Office, 500 Key Bank Tower, 50 South Main Street, Salt Lake
City, UT 84144-0402;
Assistant Regional Administrator, Pacific Regional Office, 5670
Wilshire Boulevard, Suite 1100, Los Angeles, CA 90036-3648; and
District Administrator, San Francisco District Office, 44 Montgomery
Street, 11th Floor, San Francisco, CA 94103-1735.
Subsystem B: Office of the Chairman, Securities and Exchange
Commission, 450 Fifth Street, NW, Washington, DC 20549.
Subsystem C: Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, Mail Stop A-1,
6432 General Green Way, Alexandria, VA 22312.
Subsystem D: Office of Information Technology, Securities and
Exchange Commission, Operations Center, Mail Stop O-4, 6432 General
Green Way, Alexandria, VA 22312.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
See Record access procedures above.
Record source categories:
Information collected in all subsystems is received from
individuals primarily through letters, telephone calls, or personal
visits to the Commission's offices.
Exemptions claimed for the system:
None.
SEC-30
System name: Office of General Counsel Work Files--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: Records are
maintained on persons who are subjects of SEC investigations, persons
involved in litigation with the SEC persons involved in
administrative proceedings, persons involved in litigation of
interest to the SEC, persons communicating with the SEC, SEC
personnel against whom complaints have been lodged by others.
Categories of records in the system: Records contain information
relevant to SEC investigations, court pleadings, documents, and
orders filed in civil, administrative and criminal proceedings;
letters detailing requests, complaints, and other topics of interest
to the person writing; investigative material regarding allegations
of possible staff misconduct; and other memoranda gathered and
prepared by staff in performance of their duties.
Authority for maintenance of the system: Title 15, United States
Code, section 78d(b).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By the staff of the Office to render legal advice concerning
SEC investigations and actions, to represent the SEC in all judicial
proceedings in which the SEC is involved as a party or as amicus
curiae, to keep the staff informed as to litigation which may be of
interest to the SEC, to respond to communications made to the SEC, to
investigate and make recommendations regarding complaints of
misconduct by SEC employees, to render legal advice regarding SEC
orders suspending an attorney, accountant or other professional from
appearing or practicing before the SEC, to represent SEC personnel
who are being sued, to prepare comments on pending legislation and to
draft proposed legislation, to review articles, treatises, and
speeches made by Commission personnel relating to the Commission or
to statutes and rules administered by the Commission, to deal with
problems arising under the various Federal statutes, to assist in any
SEC matter where legal advice is needed.
2. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charge with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
3. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
4. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
5. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
6. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
securities clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
7. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
requests, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of a employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organization, or
regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 79u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities law or the Commission's
rules of practice.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are kept in paper form in file folders, binders
and filing cabinets.
Retrievability: Records may be accessed by relevant name, although
there is not necessarily a method by which the name of a particular
individual can be accessed.
Safeguards: The records are generally retained in the files of the
attorney assigned to the particular matter. They are kept in a
building that has a 24-hour security guard.
Retention and disposal: These records are retained indefinitely.
While no formal schedule exists, these records periodically are sent
to a Federal Records Center for storage.
System manager(s) and address: General Counsel, Securities and
Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Records are obtained from administrative
and court pleadings, transcripts, documents, and orders; SEC
personnel; other SEC files; communications to the SEC; evidence
gathered in connection with any matter within the jurisdiction of the
SEC and from individuals, including where practicable, those to whom
the records relate.
SEC-31
System name: Office of General Counsel (Adjudication) Working
Files-SEC.
System location: Securities and Exchange Commission, Washington, DC
20549
Categories of individuals covered by the system: Records are
maintained on individuals who were or are respondents in
administrative proceedings instituted by the Commission.
Categories of records in the system: These records include
duplicate copies of documents formally filed and entered in
administrative proceedings brought before the SEC and internal
memoranda prepared by the staff of the Office of General Counsel in
the Course of the decision making process in administrative
proceedings.
Authority for maintenance of the system: Title 15, United States
Code, sections 77u, 78v, 79s, 77ttt, 80a-39, and 80b-12.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
information in the records may be used as follows:
1. By SEC personnel to prepare opinions for the Commission in
connection with pending reviews of administrative decisions.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local foreign or a
securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. To respond to request from Members of Congress or the public
regarding the status or result of an administrative proceeding.
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
9. In proceeding where the Federal securities laws are in issue
or in which the Commission or past or present members of its staff is
a party or otherwise involved in an official capacity.
10. In connection with proceedings by the Commission pursuant to
Rules 2(e) of its rules of practice, 17 CFR 201.2(e).
11. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with administration and enforcement by
the Commission of the Federal securities laws or the Commission's
rules of practice.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
A-19 at any stage of the legislative coordination and clearance
process as set forth in that circular.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: These records are maintained in file folders which are
stored in filing cabinets.
Retrievability: The records are indexed by case name. Individual
information can be acquired through use of the Commission's Name-
Relationship Index system.
Safeguards: Access to and use of these records are limited to those
individuals whose official duties require such access physical
security is provided by a 24-hour security guard at the entrance to
the building.
Retention and disposal: Records are maintained indefinitely.
System manager(s) and address: Associate General Counsel
(Adjudication), Securities and Exchange Commission, 450 Fifth Street,
NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Information in these records is supplied
by the parties in the administrative proceeding before the SEC, their
counsel, and administrative law judges.
SEC-32
System name: Rule 102(e) of the Commission's Rules of Practice--
Appearanceg and Practice Before the Commission --SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records may also be maintained by the SEC Regional and
District Offices.
Categories of individuals covered by the system: Records contain
information on attorneys, accountants and other professionals who
appear and practice before the Commission.
Categories of records in the system: Records contain information
such as court rulings, and rules in administrative proceedings and
other materials compiled in the course of Commission investigation on
individual professionals who appear and practice before the
Commission.
Authority for maintenance of the system: Title 15, United States
Code, sections 77s, 78w, 79t, 77sss, 80a-37, 80b-11; 17 CFR
201.102(e).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By the Commission's staff to determine whether to recommend to
the Commission that action be instituted against an individual
professional pursuant to the rules of practice.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued prsuant thereto.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
7. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
8. In proceeding where the Federal securities laws are in issue
or in which the Commission or past or present members of its staff is
a party or otherwise involved in an official capacity.
9. In connection with investigations or disciplinary proceedings,
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 201.100 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to be believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.735-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form.
Retrievability: Records are accessed by individual name.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure.
Storage: The records are stored on paper and on computer records.
Records are retained in a locked file room in a building having 24-
hour security guards.
Retention and disposal: Records are retained indefinitely.
System manager(s) and address:
1. Inquiries on Rule 102(e) matters concerning accountants:
Director, Division of Enforcement, Securities and Exchange
Commission, 450 Fifth Street NW, Washington, DC 20549.
2. Inquiries on Rule 102(e) matters concerning attorneys: General
Counsel, Securities and Exchange Commission, 450 Fifth Street NW,
Washington, DC 20549.
Notification procedure: All requests to determine whether this
system of records contains a record pertaining to the requesting
individual may be directed to the Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22313-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Information contained in the records is
acquired from the individual, from court documents, the records, from
an administrative proceeding, and from investigation material
gathered by the SEC staff from various sources.
SEC-33
System name: Administrative and Litigation Release System--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Records in this system also may be maintained at the SEC
Regional and District Offices.
Categories of individuals covered by the system: Records are
maintained on persons who have been named as respondents or
defendants in administrative, civil or criminal proceedings involving
allegations of violations of the Federal securities laws or related
statutes.
Categories of records in the system: Releases pertaining to
administrative proceedings are limited essentially to an
identification of the respondents, a brief reference to the general
nature of the underlying charges, and when appropriate, an
identification of the particular securities involved. Releases
pertaining to litigation matters relate to court enforcement actions
brought under the Federal securities laws.
Authority for maintenance of the system: Title 15, United States
Code, section 78d.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in them may be used for the following:
1. Giving public notice of the institution and disposition of an
administrative, civil, or criminal proceeding brought under the
Federal securities laws or related statutes.
2. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
3. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
4. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
5. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
6. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are kept in paper form in binders.
Retrievability: Records may be retrieved by the name of the
individual through use of index cards, the Securities Violation
Bulletin, and the Commission's Name-Relationship Index system.
Safeguards: The releases are kept in a building having a 24-hour
security guard.
Retention and disposal: These records are kept indefinitely.
System manager(s) and address: Secretary, Office of the Secretary,
Securities and Exchange Commission, 450 Fifth Street NW, Washington,
DC 20549.
Notification procedure: All requests to determine whether this
system of records contains a record pertaining to the requesting
individual may be directed to the Privacy Act Officer, Securities and
Exchange Commission, 6432 General Green Way, Mail Stop O-5,
Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA
22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Official files of Federal and State court
and administrative proceedings.
SEC-34
System name: Administrative Proceedings Record Cards--SEC.
System location: Securities and Exchange Commission, 450 Fifth
Street NW, Washington, DC 20549.
Categories of individuals covered by the system: Records are
maintained on persons involved in administrative proceedings
instituted by the Commission.
Categories of records in the system: Records contain names and
addresses of persons who are parties, respondents, and witnesses in
SEC administrative proceedings.
Authority for maintenance of the system: Title 15, United States
Code, sections 77u, 78v, 79s, 80a-40, and 80b-12.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used for the
following:
1. To identify individuals who are involved in administrative
proceedings so that they can be served with documents filed in the
proceeding and to record all actions taken in the proceeding.
2. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
3. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise in an official capacity.
4. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organization involving one or more of its members.
5. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
6. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
7. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained on 5 x 8 inch cards and stored in
filing boxes.
Retrievability: Individual name access for parties and witnesses
provided through computer search of the Commission's Name-
Relationship Index system.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. Records are
kept in a locked office in a building having a 24-hour security
guard.
Retention and disposal: Records are retained indefinitely.
System manager(s) and address: Secretary, Securities and Exchange
Commission, 450 Fifth Street NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Administrative Proceedings service list,
notices of appearance, transcripts of testimony.
SEC-35
System name: Securities Violations Records and Bulletin--SEC.
System location: Securities and Exchange Commission, Washington, DC
20549. Copies of the Securities Violations Bulletin are maintained by
the SEC Regional and District Offices.
Categories of individuals covered by the system: Records are
maintained on persons involved in actions for violations of foreign,
Federal or State securities laws or the rules of securities self-
regulatory organizations.
Categories of records in the system: Records contain any and all of
the following information: An individual's name, address, information
from other governmental agencies concerning the individual, a
biographical sketch, his business association, any charges, arrests,
indictments, or convictions, and any court documents and orders in
cases involving the individual. The Securities Violations Bulletin
contains information pertaining to official actions traken by
foreign, Federal and State courts and commissions and by self
regulatory organizations with respect to securities violations
reported to the SEC within the preceding three months.
Authority for maintenance of the system: Title 15, United States
Code, sections 77s, 77t, 78u, 79r, 77uuu, 80a-41, and 80b-9.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. By SEC personnel to compile the Securities Violations Bulletin
and supplements thereto, for distribution to authorized SEC
personnel, other Federal agencies, State securities regulatory
authorities, other Federal, State, local and foreign regulatory
bodies with law enforcement functions, and nongovernmental consumer
organizations.
2. By SEC personnel for purposes of investigating possible
violations of the Federal securities laws.
3. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
4. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
5. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
6. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's rules of conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy form and on magnetic
tape and cards.
Retrievability: No individual name access is provided but the
reports are in alphabetical sequence by name and can be accessed in
that manner.
Safeguards: Access to and use of these records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. Records are
kept in a locked office in a building with a 24-hour security guard.
Retention and disposal: These records are retained indefinitely.
While no formal schedule exists, these records periodically are sent
to a Federal Records Center for storage.
System manager(s) and address: Secretary, Office of the Secretary,
Securities and Exchange Commission, 450 Fifth Street NW, Washington,
DC 20549.
Notification procedure: All requests to determine whether this
system of records contains a record pertaining to the requesting
individual may be directed to the Privacy Act Officer, Securities and
Exchange Commission, 6432 General Green Way, Mail Stop O-5,
Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA
22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Commission actions, State, Federal, local
and foreign regulatory and enforcement agencies, and securities self-
regulatory organizations.
SEC-36
System name: Administrative Proceeding Files--SEC.
System location: Securities and Exchange Commission, 450 Fifth
Street NW, Washington, DC 20549.
Categories of individuals covered by the system: Records are
maintained with respect to persons who are respondents in
administrative proceedings and other persons involved in
administrative proceedings including witnesses and attorneys.
Categories of records in the system: Records include orders for
proceedings, answers, motions, responses, orders, offers of
settlement and other pleadings, transcripts of all hearings and
documents introduced as evidence therein, other relevant documents
and correspondence relating to proceedings.
Authority for maintenance of the system: Title 15, United States
Code, sections 77h(e), 78o-(b) and the Commission's rules of
practice.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these records may be used as follows:
1. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
2. In connection with investigations or disciplinary proceedings
by a State securities regulatory authority or by a securities self-
regulatory organizations involving one or more of its members.
3. Where there is an indication of a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
4. A record from the system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issunace of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
5. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
6. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.
7. In connection with proceedings by the Commission pursuant to
Rule 2(e) of its rules of practice, 17 CFR 201.2(e).
8. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
9. To respond to inquiries from Members of Congress, the press
and the public relating to pending or past administrative
proceedings.
In connection with their regulatory and enforcement
responsibilities mandated by the Federal securities laws (as defined
in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(g)), or state or foreign laws regulating securities or other
related matters, records in this system of records may be disclosed
to national securities exchanges and national securities associations
that are registered with the Commission, the Municipal Securities
Rulemaking Board, the Securities Investor Protection Corporation, the
federal banking authorities, including but not limited to, the Board
of Governors of the Federal Reserve System, the Comptroller of the
Currency, and the Federal Deposit Insurance Corporation, state
securities regulatory or law enforcement agencies or organizations,
or regulatory or law enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use to any
trustee, receiver, master, special counsel, or other individual or
entity that is appointed by a court of competent jurisdiction, or as
a result of an agreement between the parties in connection with
litigation or administrative proceedings involving allegations of
violations of the Federal securities laws (as defined in section
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the
Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise,
where such trustee, receiver, master, special counsel or other
individual or entity is specifically designated to perform particular
functions with respect to, or as a result of, the pending action or
proceeding or in connection with the administration and enforcement
by the Commission of the Federal securities laws or the Commission's
rules of practice.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Records or information from records in this system may be
included in reports published by the Commission pursuant to authority
granted in the Federal securities laws (as defined in section 21(g)
of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)).
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be
disclosed as a routine use to any person who is or has agreed to be
subject to the Commission's Rules of Conduct, 17 CFR 202.785-1 et
seq., and who assists in the investigation by the Commission of
possible violations of Federal securities laws (as defined in section
21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)) in
the preparation or conduct of enforcement actions brought by the
Commission for such violations, or otherwise in connection with the
Commission's enforcement or regulatory functions under the Federal
securities laws.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are maintained in hard copy.
Retrievability: Records are indexed by name of lead respondent
cross-indexing to individual's name is available through the SEC
Name-Relationship Index System.
Safeguards: In the case of public proceedings most of the records
are available to the public. In other cases access is limited to
authorized personnel who need access to perform their functions.
Personnel screening is used to avoid unauthorized disclosures.
Retention and disposal: These records are retained indefinitely.
System manager(s) and address: Secretary, Office of the Secretary,
Securities and Exchange Commission, 450 Fifth Street NW, Washington,
DC 20549.
Notification procedure: All requests to determine whether this
system of records contains a record pertaining to the requesting
individual may be directed to the Privacy Act Officer, Securities and
Exchange Commission, 6432 General Green Way, Mail Stop O-5,
Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, General Green Way, Mail Stop O-5, Alexandria, VA
22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: These records are obtained from counsel
involved in the administrative proceeding, internal Commission files,
and from individuals including, where practicable, the individual as
to whom the record pertains.
SEC-37
System name: Automated Personnel Management Information System--
SEC.
System location: Securities and Exchange Commission, Washington, DC
20549.
Categories of individuals covered by the system: SEC employees,
past and present.
Categories of records in the system: The system of records consists
of summaries of information received from the following category of
records: (a) Applicant files (Standard Forms 171 and resumes,
attorney supplements to applications, applicant correspondence and
evaluations, and summer employment files); (b) official personnel
folders (Office of Personnel Management files); (c) service record
cards; (d) merit promotion posting files, including supervisory
appraisals for jobs advertised under SEC Merit Promotion Program; (e)
chronological copies of personnel actions (Standard Forms 50); (f)
employee payroll number; (g) official position description; (h) SES
submissions (correspondence with Office of Personnel Management
requesting new supergrade allocations or changes with respect to
existing ones); and (i) annual performance rating and position
classification certification.
Authority for maintenance of the system: 5 CFR parts 213, 293, 302,
and 335 and Office of Personnel Management Regulations promulgated
thereunder.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: 1. The records
will be used by the SEC staff for (a) preparation of forms relating
to official personnel actions; (b) computation of personnel strength
of Commission divisions and offices; (c) certification of employment
for credit checks or job applications; (d) recording of personnel
actions processed; (e) preparation of reports and statistics on
personnel activity; (f) location of personnel having specific skills
and training; and (g) monitoring personnel actions concerning the
staff (i.e., date of employee's last promotion, employee's position
description number, etc.).
2. Any record in this system or records may be used by the
Commission in connection with any action or proceeding brought by an
employee before another agency or a court of law to review personnel
action taken by the Commission or the failure by the Commission to
take action.
3. Any record in this system may be used in any proceeding where
the Federal securities laws are an issue or in which the Commission
or past or present members of its staff is a party or otherwise
involved in an official capacity.
4. Any record in this system of records may be disclosed as a
``routine use'' to a Federal, State, or local governmental authority
maintaining civil, criminal, or other relevant enforcement
information or other pertinent information, such as current licenses,
if necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit.
5. Any record in this system of records may be disclosed to a
Federal, State, or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
6. The records in this system of records may be used as a data
source for management information, to enable the production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; they
may also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
7. Records in this system may, in the discretion of the
Commission's staff, be disclosed to any person during the course of
any inquiry or investigation conducted by the Commission's staff, or
in connection with civil litigation, if the staff has reason to
believe that the person to whom the record is disclosed may have
further information about the matters related therein, and those
matters appear to be relevant at the time to the subject matter of
the inquiry.
8. Disclosure may be made to a congressional office of
information contained in the records relating to an individual in
response to any inquiry from the congressional office made at the
request of that individual.
9. The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
A-19 at any stage of the legislative coordination and clearance
process as set forth in that circular.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: The records are computerized and maintained on magnetic
disk (current and historical records) and magnetic tape (historical
records and backup).
Retrievability: Information is retrieved by name, employee
identification code, or social security account number, via a
generalized query capability.
Safeguards: Direct access via computer terminals is restricted to
certain SEC staff on a need to know basis through use of special
identification codes. Access via batch capability must be recommended
by Division/Office Heads and authorized by the System Manager(s).
Authorization forms will be maintained by the Office of Information
Technology. Computer disk and tape files, on which the data is
stored, are available only through the librarian or chief of
operations of the Office of Information Technology. Computerized
backup and historical files are stored at a secured auxiliary SEC
storage facility. The building where the records are maintained has a
24-hour security guard.
Retention and disposal: Computerized files on current employees
will be retained during the time the employee is employed by the
Commission and after separation from the Commission.
System manager(s) and address: Associate Executive Director, Office
of Administrative and Personnel Management, Securities and Exchange
Commission, 450 Fifth Street, NW, Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Records in category (a) are obtained from
applicant concerned and interviewer evaluating the applicant. Records
in categories (b), (d) and (e) are obtained from employee and
supervisors concerned. Records in category (c) are obtained from
official personnel folder of the employee concerned. Records in
category (f) are assigned to the employee by the Commission and are
obtained from the employee's official personnel folder. Records in
category (g) are obtained from interviews by position classifiers
and/or management analysis staff of the Executive Director's Office
with employee and his/her supervisor(s) and administrative assistant.
Records in category (h) are obtained from official personnel files,
office classification files, interviews by position classifiers, and
the employee concerned. Records in category (i) are obtained from
annual performance rating files.
SEC-38
System name: Personnel Management Code of Conduct and Employee
Performance Files.
System location: Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-
2413.
Categories of individuals covered by the system: SEC employees,
past and present.
Categories of records in the system: The system of records includes
information in the following categories of records: (a) Adverse
action cases, regulatory appeal files, grievances and complaints
relating to an employee; (b) Code of Conduct files-established under
SEC employee conduct regulations (17 CFR 200.735-1 et seq.):Rule 4--
Outside employment material; Rule 5--Employee securities transactions
; Rule 6--Actions in cases of personal interests; Rule 7--
Negotiations for private employment; Rule 8--Practice by former
members and employees of the SEC; Rule 9--Employee debts; Rule 11--
Statements of employment of and financial interest (GS 16's and
above); Rule 12--Statement of employment and financial interest
(Special Employees); (c) Investigatory materials gathered in
connection with the individual's initial appointment to the agency as
well as materials gathered in connection with investigations into
allegations of employee misconduct.
Authority for maintenance of the system: 5 CFR parts 315, 351, 430,
451, 511, 735, 752, 771, Civil Service Regulations promulgated
thereunder and 17 CFR 200.735-1 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses: These records and
the information contained in these files may be used for the
following:
1. Assigned Office of Personnel Staff uses records in category
(b) above to verify employee compliance with SEC Conduct Regulations.
2. Any of the above records may be used by the Commission in
connection with any action or proceeding brought by an employee
before another agency or a court of law to review personnel action
taken by the Commission or the Commission's failure to take action.
3. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
4. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefits.
5. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
6. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general 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.
7. For referral to another agency to determine whether the
conduct of an employee may have violated a criminal statute.
8. To aid in responding to inquiries from Members of Congress,
the press or others concerning personnel action with respect to a
specific employee.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage: Records are kept in folders in file cabinets. A computer
listing of employee securities holdings is stored under an ID number
system to which only the members of the Personnel Office and Data
Processing Staffs who are responsible for administering the systems
have access.
Retrievability: Records are indexed by employee name. Data on
computer listing is retrieved by special ID number as described
above.
Safeguards: Materials are pulled and refiled by Office of Personnel
staff only and the office containing the records is locked each
evening. The computer listing is meaningless without access to the ID
numbers which are kept under lock.
Retention and disposal: Records in category (a) are retained 2
years and then discarded. Records in category (b) are kept for 5
years and then discarded. When employee leaves the SEC, his/her
conduct files are stored for 2 years by the Office of Records and
then destroyed; the computer listing of his/her securities
transactions is destroyed upon his/her separation from the SEC. The
Rule 6 file, established when a former employee returns to practice
before the SEC, is retained indefinitely.
System manager(s) and address: Associate Executive Director, Office
of Administrative and Personnel Management, Securities and Exchange
Commission, Operations Center, 6432 General GreenWay, Mail Stop O-1,
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
Contesting record procedures: See Record access procedures above.
Record source categories: Records in category (a) are obtained from
the supervisor/manager(s) initiating action, employee concerned and
his/her designated representative; and other individuals making
complaints; records in category (b) are obtained from employee
concerned. Employee concerned submits information re: Rules 2-6 and
9-10. Both alleged creditor and employee concerned submit information
in Rule 7 (employee debts) file. Information in category (c) is
gathered, where practicable, from the individual as to whom the
information pertains and other individuals including former employers
and associates, friends, coworkers, relatives, neighbors. Information
may also be received from Federal, State or local law enforcement
authorities or other governmental agencies.
SEC-39
System name: Personnel Management Employment and Staffing Files.
System location: Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-
2413.
Categories of individuals covered by the system:
Records are maintained on applicants for SEC employment and
present and past employees.
Categories of records in the system:
The system of records includes the following category of records:
(a) Applicant files (Standard Forms 171 and resumes, attorney
supplements to applications, applicant correspondence and
evaluations, and summer employment files); (b) Official personnel
folders (Office of Administrative and Personnel Management Files);
(c) Service record cards; (d) Merit promotion posting files,
including supervisory appraisals for jobs advertised under SEC Merit
Promotion Program; (e) Request to Office of Personnel Management for
Schedule C personnel actions; (f) Chronological copies of personnel
actions (Standard Forms 50); (g) Office of Personnel Management
clerk-typist and clerk-steno examination papers for applicants tested
under SEC's delegated recruiting authority; (h) Division/Office/
Region employee record cards or micro computer diskettes; (i)
Regional Office employee files, including copies of applications and
notifications of personnel action (Standard Forms 50) on the employee
concerned.
Authority for maintenance of the system:
5 CFR, parts 213, 293, 302, and 335; 5 U.S.C. 3109 and Civil
Service Regulations promulgated thereunder.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and the information contained in these records may
be used as follows;
1. Records in category (a) above are used by SEC staff to make
referrals to supervisors or administrative assistants in offices with
vacancies for which applicants may be considered. Offices may retain
copies of applications/resumes and evaluations of candidates they
interview whom they feel may be contenders for employment offers
later in the year.
2. SEC staff uses records in category (b) above for (i) retention
of official personnel documents; (ii) verification of employment;
(iii) determination of qualifications for jobs and eligibility for
training; (iv) processing of personnel actions.
3. SEC staff uses records in category (c) above for (i)
computation of personnel strength of divisions/offices; (ii)
verification of employment for credit checks or job applications;
(iii) recording of personnel actions processed.
4. SEC staff uses records in category (d) above to maintain
records required by the Office of Personnel Management of competitive
promotion actions, including (i) records to determine how an
announcement for a particular job reads; (ii) records for statistical
reports; (iii) records for program effectiveness studies (to send
questionnaires to supervisors who made selections under the program,
for example). Supervisory appraisals are scored and used in
determining employee's overall standing among all applicants for the
job; they are sent to selecting supervisors for review if the
employee is certified for consideration (interview).
5. SEC staff uses records in category (e) above to identify
Office of Personnel Management control numbers for Schedule C
positions and to aid in preparing new submissions.
6. SEC staff uses records in category (f) above for statistical
reports.
7. SEC staff forwards records in category (g) above to the Office
of Personnel Management at the end of each month if the applicant is
not hired; if applicant is hired, records are retained for one year
and then destroyed.
8. SEC staff uses records in category (h) above to monitor
personnel actions concerning their staffs (i.e., date of employee's
last promotion, employee's position description number, etc.) and to
record date personnel action requests and reports were forwarded to
the Office of Personnel.
9. SEC Regional Offices use records in category (i) above as a
reference in preparing personnel actions requests on employees,
determining employee eligibility for training or career development
counseling and for back-up data in preparing award nominations, etc.
10. Any of the records described above may be used by the
Commission in connection with any action or proceeding brought by an
employee before another agency or a court of law to review personnel
action taken by the Commission or the failure by the Commission to
take action.
11. In any proceeding where the Federal securities laws are in
issue or in which the Commission or past or present members of its
staff is a party or otherwise involved in an official capacity.
12. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
or other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency decision
concerning the hiring or retention of an employee, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant or other benefit.
13. A record from this system of records may be disclosed to a
Federal, State or local governmental authority, in response to its
request, in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant, or other benefit by the requesting
agency, to the extent that the information is relevant and necessary
to the requesting agency's decision on the matter.
14. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
15. To aid in responding to inquiries from an employee, Member of
Congress, the press or others concerning personnel action taken with
respect to a specified employee or employees.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of inquiry.
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.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
A-19 at any stage of the legislative coordination and clearance
process as set forth in that circular.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records in categories (a) and (d)-(f) are kept in folders in file
cabinets. Records in categories (b) and (g) are kept in a Diebold
power file. Records in category (c) are kept in file drawers. Records
in category (h) are kept in file drawers, file boxes or diskette
jackets. Records in category (i) are kept in folders in locked
cabinets.
Retrievability:
Records are indexed by name.
Safeguards:
Records in categories (a)-(g) are pulled and refiled by Office of
Personnel staff only and that Office is locked each evening. Access
to official Personnel Folders is limited to employee concerned, his/
her supervisors and administrative assistant, supervisors/
administrative assistants considering him/her for a job or employee's
designated representative; access by other individuals on official
business is on a need-to-know basis as approved by the Associate
Executive Director, Office of Administrative and Personnel
Management. Personnel folders are locked in the Diebold file each
evening. Division/Office Directors and Regional Directors are
responsible for keeping employee record cards, micro computer
diskettes or employee files (Regional Offices only) under lock and
for assuring that their confidentially is maintained. The national
office in Washington, DC has a 24-hour security guard.
Retention and disposal:
Records in category (a) are retained 6 months and then destroyed.
Records in category (b) are forwarded to Federal Records Center 30
days after the employee leaves the SEC by retirement, resignation or
death or forwarded to agency to which employee transfers as soon as
new agency requests them. Records in category (c) are retained
indefinitely. Records in category (d) are retained two years and then
destroyed. Records in category (e) are retained indefinitely. Records
in category (f) are retained 5 years and then destroyed. Records in
category (g) are sent to the Office of Personnel Management at the
end of the month if the applicant is hired. If the applicant is not
hired, records are retained one year and then destroyed. Records in
category (h) are retained indefinitely. Records in category (i) are
retained while employee is assigned to office and forwarded to new
SEC office if he/she transfers or destroyed if employee leaves the
SEC.
System manager(s) and address: Associate Executive Director, Office
of Administrative and Personnel Management, Securities and Exchange
Commission, Operations Center, 6432 General GreenWay, Mail Stop O-1,
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
Contesting record procedures:
See Record access procedures above.
Record source categories:
Records in category (a) are obtained from applicant concerned and
interviewer evaluating the applicant. Records in category (b) are
obtained from employee and supervisors concerned. Records in category
(c) are obtained from official personnel folder of the employee
concerned. Records in category (d) are obtained from employees
applying for job and their supervisors. Records in category (e) are
obtained from employees and supervisors concerned. Records in
category (f) are obtained from employees and supervisors concerned.
Records in category (g) are obtained from applicant. Records in
category (h) are obtained from official personnel actions, employees
and supervisors concerned. Records in category (i) are obtained from
official personnel actions, employees and supervisors concerned.
SEC-40
System name:
Personnel Management Training Files-SEC.
System location:
Securities and Exchange Commission, Operations Center, 6432
General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
Categories of individuals covered by the system:
Records are maintained on SEC employees, present and past.
Categories of records in the system:
Both automated and paper records fall within the following
categories: (a) Information on internal and external training
provided to employees; (b) budget tracking information; (c) training
sources used/considered; and (d) class rosters, notices, and
certificates.
Authority for maintenance of the system:
5 U.S.C. 1302, 2951, 3301, 3372, 4103, 4113, and 4118; and 5 CFR
part 410.
Purpose(s):
The records are used for statistical reports and employee career
counseling, for determining whether mandatory training has been
received, and for assessing whether the cost, quality, and
appropriateness of courses and sources merit consideration for
fulfilling future agency training needs.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
These records and the information contained in these records may
be used as follows:
(1) To provide information to Government training facilities
(Federal, State, or local) and to non-Government training facilities
(private contractors of training courses or programs, private
schools, etc.), their representatives, or volunteers working on a
contract, service, grant, or cooperative agreement, for training
purposes;
(2) To respond to inquiries from the White House, Congressional
committees, the General Accounting Office, General Services
Administration or the National Archives and Records Administration,
or others charged with monitoring the work of the Commission or
conducting records management inspections under authority of 44
U.S.C. 2904 and 2906;
(3) To respond to a subpoena, request for discovery, or the
appearance of a witness, in connection with any relevant litigation
or proceeding where the Commission, or past or present members of its
staff, is a party or otherwise involved in an official capacity;
(4) To provide information to a Federal, State, or local
governmental entity or agency in response to its request, in
connection with the potential violation of civil or criminal law or
other regulation, the hiring or retention of an employee, the
issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a
license, grant, or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the
requesting agency's decision on the matter; and
(5) To any source from which additional information is requested,
when necessary to obtain information relevant to an agency decision
to hire or retain an employee, issue a security clearance, conduct a
security or suitability investigation of an individual, classify
jobs, let a contract, or issue a license, grant, or other benefits.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic media is maintained in a database, paper records are
kept in binders and folders.
Retrievability:
Records are retrievable by employee name, social security number,
organization, and the assigned training form number; vendor name;
instructor name; category of training; date(s) of training; and
course title and location.
Safeguards:
Records are available to authorized agency staff. Both paper and
electronic media are kept in a secure facility with 24 hour security
guard surveillance. Personnel access to the database records is
restricted by passwords.
Retention and disposal:
Records are retained for three (3) fiscal years and destroyed
after completion of any applicable reporting requirements by the
Office of Personnel Management.
System manager(s) and address:
Associate Executive Director, Office of Administrative and
Personnel Management, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-
2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
See Record Access procedures above.
Record source categories:
Records that comprise the information in the system are provided
by: The individual on whom the record is maintained; agency
supervisors and/or administrative staff on employees being nominated
for training; vendors or potential vendor sources for training; and
other agency records.
Exemptions claimed for the system:
None.
SEC-41
System name:
Child Care Subsidy Program.
System location:
SEC, Operations Center, 6432 General Green Way, Alexandria, VA
22312-2413.
Categories of individuals covered by the system:
Present and former SEC employees and their children and child
care providers.
Categories of records in the system:
(1) Employee's name, telephone numbers, address, grade, gross
annual salary, gross family income that was reported on the latest
Federal income tax return, and number of dependent children; (2)
employee's child's name, date of birth, social security number,
weekly tuition cost, amount of child care tuition subsidy from state
or local government; and (3) employee's child care provider's name,
address, telephone number, tax identification number, and license
number.
Authority for maintenance of the system:
Sec. 643, Pub. L. 106-58, 113 Stat. 477.
Purpose(s):
To determine eligibility for, and the amount of, the child care
tuition subsidy for lower income SEC employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), the SEC staff may provide these records to:
(1) Any Federal, state, or local government authority
implementing child care subsidy programs or investigating a violation
or potential violation of a statute, rule, regulation, or order;
(2) Any contractor that performs, on the SEC's behalf, services
requiring the use of these records; and
(3) The Office of Personnel Management to be used for evaluating
the child care subsidy program.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in paper and/or electronic format.
Retrievability:
These records are retrievable by the employee's name or social
security number.
Safeguards:
When not in use, paper records are kept in locked rooms or metal
cabinets in a building with security cameras and 24-hour security
guards. Access to computer records requires the use of restricted
passwords.
Retention and disposal:
These records will be maintained permanently until their official
retention period is established.
System manager(s) and address:
Associate Executive Director, Office of Administrative and
Personnel Management, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Notification procedure:
Requests to determine whether this system contains a record
pertaining to the requesting individual should be sent to the Privacy
Act Officer, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedures:
Individuals who want to know how to gain access to or contest the
contents of their records may contact the Privacy Act Officer, SEC,
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Record Access Procedures above.
Record source categories:
Applications for child care subsidy and supporting records, which
are voluntarily submitted by employees.
Exemptions claimed for the system:
None.
SEC-42
System name: Enforcement Files.
System location:
Securities and Exchange Commission, 450 Fifth Street, NW,
Washington, DC 20549. Files may be maintained in Commission offices
which conducted an investigation or litigation. Closed investigatory
and litigation 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 Minutes and Commission Orders, copies of subpoenas issued
in the course of the matter, affidavits, transcripts of testimony and
exhibits thereto, copies of pleadings and exhibits in related private
or governmental actions, documents and other evidence obtained in the
course of the matter, computerized records, working papers of the
staff and other documents and records relating to the matter, opening
reports, progress reports and closing reports, and miscellaneous
records relating to investigations or litigation.
Authority for maintenance of the system:
Title 15, United States Code, sections 77s, 77t, 78u, 79r, 77uuu,
80a-41, 80b-9, and 17 CFR 202.5.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. 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.
2. By SEC personnel for purposes of investigating possible
violations of, or to conduct investigations authorized by, the
federal securities laws.
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 regulations, 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 a federal, state, local or foreign governmental authority
or foreign securities 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.
6. To a federal, state, local or foreign governmental authority
or foreign securities 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 nedessary to the requesting agency's
decision on the matter.
7. In connection with proceedings by the Commission pursuant to
Rule 102(e) of its Rules of Practice, 17 CFR 201.2(e).
8. When considered appropriate, records in this system may be
disclosed to a bar association, the American Institute of Certified
Public Accountants, a state accountancy board or other federal,
state, local or foreign licensing or oversight authority, foreign
securities authority, or professional association or self-regulatory
authority performing similar functions, for possible disciplinary or
other actions.
9. 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.
10. As a date 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.
11. 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, regulatory law enforcement agencies of a foreign
government, or foreign securities authorities.
12. 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 Commission's rules of practice, 17 CFR 201.100-
900, or otherwise, where such trustee, receiver, master, special
counsel or other individual or entity is specifically designated to
perform particular functions with respect to, or as a result of, the
pending action or proceeding or in connection with the administration
and enforcement by the Commission of the federal securities laws or
the Commission's rules of practice.
13. To any person during the course of any inquiry or
investigation conducted by the Commission's staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
14. 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.
15. 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)).
16. To members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official designated functions.
17. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 to 735-18, and who
assists in the investigation by the Commission of possible violations
of federal securities law (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.
18. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual.
19. 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.
20. To prepare and publish information relating to violations of
the federal securities laws as provided in 15 U.S.C. 78u(a), as
amended.
21. To respond to subpoenas in any litigation or other
proceeding.
22. To a trustee in bankruptcy.
23. To any governmental agency, governmental or private
collection agent, consumer reporting agency or commercial reporting
agency, governmental or private employer of a debtor, or any other
person, for collection, including colletion by administrative offset,
federal salary offset, tax refund offset, or administrative wage
garnishment, of amounts owed as a result of Commission civil or
administrative proceedings.
Disclosure to consumer reporting agencies:
When the Commission seeks to collect a debt arising from a civil
action or administrative proceeding, it may disclose the following
informaiton to aconsumer reporting agency: (i) Information necessary
to establish the identity of the debtor, including name, address and
taxpayer identification numbe or social security number; (ii) the
amount, status and history of the debt; and (iii) the fact that the
debt arose from a Commission action or proceeding to enforce the
federal securities laws.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records, microform, electronic and other media.
Retrievability:
The records are retrieved by the name under which the
investigation is conducted or administrative or judicial litigation
is filed, Access to information about an individual may be obtained
through the Commission's Name-Relationship Index system by the name
of the individual. Information concerning an individual may also be
obtained by reference to card or computer-maintained indices.
Safeguards:
Access to and use of investigatory records are limited to those
persons whose official duties require such access. Personnel
screening is employed to prevent unauthorized disclosure. Files are
maintained in buildings having a 24-hour security guard. During the
course of a matter, relevant records are normally maintained by the
individuals working on the matter. Information contained in indices
is safeguarded by use of confidential access passwords, physical
restrictions and/or other means. Most of the information contained in
litigation files is public insofar as the documents were filed in
public administrative were filed in public administrative proceedings
or litigation (unless otherwise ordered).
Retention and disposal:
These records are maintained in-house until the investigation is
officially closed, then transferred to the Federal Records Center for
storage. They are controlled and assigned case number and destroyed
after 25 years, in accordance with the Commission's formal Records
Control Schedule outlined at 17 CFR 200.80f.
System manager(s) and address:
Director, Division of Enforcement, Securities and Exchange
Commission, 450 Fifth Street NW, Washington, DC 20549-0801; Records
Officer, Securities and Exchange Commission, 6441-D General Green
Way, Alexandria, VA 22312; Regional Director, Northeast Regional
Office, 233 Broadway, New York, NY 10279; 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 1120 E., Philadelphia, PA
19106-3322; Regional Director, Southeast Regional Office, 801
Brickell Avenue, Suite 1800, Miami, Florida 33131; District
Administrator, Atlanta District Office, 3475 Lenox Road, N.E., Suite
1000, Atlanta, GA, 30326-1232; Regional Director, Midwest Regional
Office, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604;
Regional Director, Central Regional Office, 1801 California Street,
Suite 1500, Denver, CO 80202-2648; District Administrator, Fort Worth
District Office, 801 Cherry Street, Unit 18, Fort Worth, TX
76102-6882; District Administrator, Salt Lake District Office, 50
South Main Street, Suite 500, Salt Lake City, UT 84144-0402; Regional
Director, Pacific Regional Office, 5670 Wilshire Boulevard, 11th
Floor, Los Angeles, CA 90036-3648; and District Administrator, San
Francisco District Office, 44 Montgomery Street, Suite 1100, San
Francisco, CA 94104.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
Individuas desiring to contest or amend information maintained in
this system of records should direct their requests to the Privacy
Act Officer.
Record source categories:
Information in these records is supplied by: Individuals
including, where practicable, those to whom the information relates;
witnesses, banks, corporations, or other entities; self-regulatory
organizations; the Postal Inspection Service, the Department of
Justice, state securities commissions, other Federal, state, or local
bodies and law enforcement agencies or foreign governmental
authorities; public sources, i.e., libraries, newspapers, television,
radio, court records, filings with Federal, state, and local bodies;
filings made with the SEC pursuant to law; electronic information
sources; other offices within the Commission; documents, litigation,
transcripts of testimony, evidence introduced into court, orders
entered by a court and correspondence relating to litigation;
pleadings in administrative proceedings, transcripts of testimony,
documents, including evidence entered in such proceedings, and
miscellaneous other sources.
Exemptions claimed for the system:
Under 5 U.S.C. 552a(k)(2), this system of records is exempted
from the following provisions of the Privacy Act, 5 U.S.C. 552a:
(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). These
exemptions are contained in 17 CFR 200.312(a)(1).
SEC-43
System name:
Office of Inspector General Investigative Files.
System location:
Office of Inspector General, Securities and Exchange Commission,
450 5th Street, NW., Room 7010, Washington, DC 20549.
Categories of individuals covered by the system:
This system of records contains records on individuals who are or
have been subjects of the Office of Inspector General's
investigations relating to programs and operations of the Commission.
Categories of records in the system:
All correspondence relevant to the investigation; all internal
staff memorandum, copies of all subpoenas issued during the
investigation, affidavits, statements from witnesses, transcripts of
testimony taken in the investigation and accompanying exhibits;
documents and records or copies obtained during the investigation;
working papers of the staff and other documents and records relating
to the investigation; and opening reports, progress reports, and
closing reports.
Authority for maintenance of the system:
Pub. L. 95-452, as amended, 5 U.S.C. app. at 1184 (1988).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information in the system may be disclosed:
(1) Where there is an indication of a violation or a potential
violation of law, whether civil, criminal or regulatory in nature,
whether arising by general statute or particular program statute, or
by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred to the appropriate
agency, whether federal, foreign, state, or local, or to a securities
self-regulatory organization, charged with enforcing or implementing
the statute, or rule, regulation or order.
(2) To Federal, foreign, state, or local authorities in order to
obtain information or records relevant to an Office of Inspector
General investigation.
(3) To Federal, foreign, state or local governmental authorities
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.
(4) To Federal, foreign, state, or local governmental authorities
in response to their request in connection with the hiring or
retention of an employee, discriminary or other administrative action
concerning an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision in the matter.
(5) To non-governmental parties where those parties may have
information the Office of Inspector General seeks to obtain in
connection with an investigation.
(6) To independent auditors or other private firms with which the
Office of Inspector General has contracted to carry out an
independent audit, or to collate, aggregate or otherwise refine data
collected in the system of records. These contractors will be
required to maintain Privacy Act safeguards with respect to such
records.
(7) To respond to subpoenas in any litigation or other
proceeding.
(8) To the Department of Justice and/or the Office of the General
Counsel of the Commission when the defendant in litigation is: (a)
Any component of the Commission or any employee of the Commission or
any employee of the Commission in his or her official capacity; (b)
the United States where the Commission determines that the claim, if
successful, is likely to directly affected the operations of the
Commission; or (c) any Commission employee in his or her individual
capacity where the Department of Justice and/or the Office of the
General Counsel of the Commission agree to represent such employee.
(9) 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.
(10) To inform complainants, victims, and witnesses of the
results of an investigation.
(11) To qualified individuals or organizations in connection with
the performance of a peer review or other study of the Office of
Inspector General's audit or investigative functions.
(12) To private firms of individuals with which the Office of
Inspector General has contracted to provide support for
investigations or other inquiries. These private firms and
individuals will be required to maintain Privacy Act safeguards with
respect to such records.
(13) To a Federal agency responsible for considering debarment or
suspension action if the record would be relevant to such action.
(14) To the Department of Justice for the purpose of obtaining
its advice on Freedom of Information Act matters.
(15) To the Office of Management and Budget for the purpose of
obtaining its advice on Privacy Act matters.
(16) To a public or professional licensing organization if the
record indicates, either by itself or in combination with other
information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed.
(17) To the Office of Government Ethics (OGE) to comply with
agency reporting requirements established by OGE in 5 CFR part 2638,
subpart F.
(18) To the news media and the public when there exists a
legitimate public interest (e.g., to provide information on events in
the criminal process, such as an indictment).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The Office of Inspector General Investigative Files consists of
paper records maintained in binders and an automated data base
maintained on computer diskettes. The binders and diskettes are
stored in the Office of Inspector General's file cabinets.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in file cabinets in locked offices at all
other times.
Retention and disposal:
The Investigative Files are kept indefinitely.
System manager(s) and address:
Inspector General, Office of Inspector General, Securities and
Exchange Commission, 450 5th Street, NW., Washington, DC 20549.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in this system of records should direst their requests to the Privacy
Act Officer at the address above.
Record source categories:
Information in these records is supplied by: Individuals
including, where practicable, those to whom the information relates;
witnesses, corporations and other entities; records of individuals
and of the Commission; records of other entities; Federal, foreign,
state or local bodies and law enforcement agencies; documents,
correspondence relating to litigation, and transcripts of testimony;
and miscellaneous other sources.
System exemptions from certain provisions of the Act:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records, to the
extent it pertains to the enforcement of criminal laws, is exempted
from all provisions of the Privacy Act od 1974, 5 U.S.C. 552a, except
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2), this system of records to the
extent it consists of investigatory material compiled for law
enforcement purposes, is exempted from the following provisions of
the Privacy Act of 1974, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) other than material within the scope of the
exemption at 5 U.S.C. 552a(j)(2)
These exemptions are contained in 17 CFR 200.313.
SEC-44
System name:
Ridesharing System.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413.
Categories of individuals covered by the system:
SEC employees who participate in a vanpool or carpool and apply
for parking permits.
Categories of records in the system:
Records include SEC Form 2421 (Official Parking Application).
Records contain the employee's name, home address, SEC telephone
number, and vehicle make, model, year, tag number, and state.
Authority for maintenance of the system:
Exec. Order 12191; 41 CFR 101-6.3; 41 CFR 101-20.104; and 41 CFR
101-20.104-1 through 4, and 42 U.S.C. 13201.
Purpose(s):
The system is primarily designed to encourage the formulation of
carpools or vanpools, as a means to conserve petroleum, reduce
congestion, and improve air quality; and to provide equitable parking
based upon established criteria.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
No routine use disclosures have been established for these
records. The records and information contained in these records will
not be disclosed outside the SEC, unless mandated by law. See
Conditions of Disclosure to Third Parties, 5 U.S.C. 552a(b).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
Electronic records may be searched and retrieved by the
employee's name or parking permit number. Paper records are retrieved
by the parking permit number only.
Safeguards:
Paper records are placed in a locked file cabinet, and the data
which is extracted from these paper records is keyed into a computer
database, safeguarded by restricted passwords.
Retention and disposal:
Records are maintained on one form and in a computer database.
Documentation (paper and electronic records) is kept for two years
then destroyed.
System manager(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, 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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Record access procedures:
Persons wishing to obtain information on the procedures for
gaining access to or contesting the contents of this record may
contact the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Information is provided by SEC employees, who have applied for
parking, and by the issuing official.
Exemptions claimed for the system:
None.
SEC-45
System name:
Public Transportation Subsidy Program.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District
Offices are as follows: Central Regional Office, 1801 California
Street, Suite 4800, Denver, CO 80202-2648; Midwest Regional Office,
500 West Madison Street, Suite 1400, Chicago, IL 60661-2511;
Northeast Regional Office, 7 World Trade Center, Suite 1300, New
York, NY 10048; Southeast Regional Office, 1401 Brickell Avenue,
Suite 200, Miami, FL 33131; Atlanta District Office, 3475 Lenox Road,
N.E., Suite 1000, Atlanta, GA 30326-1232; Boston District Office, 73
Tremont Street, Suite 600, Boston, MA 02108-3812; Fort Worth District
Office, 801 Cherry Street, 19th Floor, Fort Worth, TX 76102;
Philadelphia District Office, The Curtis Center, Suite 1005 East, 601
Walnut Street, Philadelphia, PA 19106-3322; San Francisco District
Office, 44 Montgomery Street, Suite 1100, San Francisco, CA 94104;
and Salt Lake District Office, 50 South Main Street, Suite 500, Salt
Lake City, UT 84144-0402.
Categories of individuals covered by the system:
SEC employees who use public transportation.
Categories of records in the system:
Records include the employee's name, date of hire, social
security number, organization, grade, and date of annual
certification.
Authority for maintenance of the system:
Exec. Order 12191; Pub. L. 101-509, Section 629; Pub. L. 103-172;
26 CFR 1.132-6; and 42 U.S.C. 13201.
Purpose(s):
The system is primarily designed to encourage employees to use
public transportation as a means to conserve petroleum, reduce
congestion, and improve air quality.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses.
The information contained in these records are used as follows:
1. To the appropriate personnel for periodic review of
revalidation for subsidy;
2. To the Office of Inspector General for investigating
allegations of abuse, should they occur;
3. To the appropriate Federal, State, or local agency responsible
for investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order where the SEC becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation; and
4. To another Federal agency or to a court when the Government is
party to a judicial proceeding before the court.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
Records are maintained alphabetically and retrieved by the
employee's name.
Safeguards:
Computerized records are safeguarded by restricted passwords and
the paper records are locked in file cabinets.
Retention and disposal:
Records in either paper or electronic form may include
applications, certification logs, vouchers, and spreadsheets, used to
document the disbursement of transportation subsidies. These records
are destroyed after three years under the National Archives and
Records Administration's General Records Schedule No. 9, Item 7.
System manager(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, Alexandria, VA 22312-2413. SEC Regional and District
Offices are as follows: Central Regional Office, 1801 California
Street, Suite 4800, Denver, CO 80202-2648; Midwest Regional Office,
500 West Madison Street, Suite 1400, Chicago, IL 60661-2511;
Northeast Regional Office, 7 World Trade Center, Suite 1300, New
York, NY 10048; Southeast Regional Office, 1401 Brickell Avenue,
Suite 200, Miami, FL 33131; Atlanta District Office, 3475 Lenox Road,
N.E., Suite 1000, Atlanta, GA 30326-1232; Boston District Office, 73
Tremont Street, Suite 600, Boston, MA 02108-3812; Fort Worth District
Office, 801 Cherry Street, 19th Floor, Fort Worth, TX 76102;
Philadelphia District Office, The Curtis Center, Suite 1005 East, 601
Walnut Street, Philadelphia, PA 19106-3322; San Francisco District
Office, 44 Montgomery Street, Suite 1100, San Francisco, CA 94104;
and Salt Lake District Office, 50 South Main Street, Suite 500, Salt
Lake City, UT 84144-0402.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual may be directed to
the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Record access procedures:
Persons wishing to obtain information on the procedures for
gaining access to or contesting the contents of this record may
contact the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Records include SEC Form 2344, Return/Termination of Public
Transportation Subsidy; SEC Form 2316, Employee Certification for
Public Transportation Subsidy; SEC Form 2317, Receipt for Public
Transportation Subsidy; SEC Form 2318, Disbursing Agents, Voucher;
and SEC Form 2407, Authorization for Third-Party Receipt of Public
Transportation Subsidy.
Exemptions claimed for the system:
None.
SEC-46
System name:
Identification Cards, Press Passes, and Proximity Access Control
Cards.
System location:
Securities and Exchange Commission, Operations Center, Office of
Administrative and Personnel Management, 6432 General Green Way, Mail
Stop O-1, Alexandria, VA 22312-2413.
Categories and individuals covered by the system:
SEC employees, members of the press, contractors, and consultants
who require access to SEC facilities.
Categories of records in the system:
Records include SEC Form 980, Regular Identification Card (name,
date of birth, weight, height, color of hair and eyes, employee
identification number, and date of expiration); SEC Form 980A, Day
Pass (date, name, organization, and authorized by); SEC Form 990,
Special Credential (signature of employee and card number); SEC Form
2354, Temporary Pass (date of expiration and control number); SEC
Form 2355, Contractor and Consultant Pass (name, issuing officer,
control number, identification number, date of issue, expiration
date, date of birth, color of hair and eyes, height, weight, and
assignment); SEC Form 2264, Permanent (Resident) Press Pass (name,
organization, control number, and date of expiration); SEC Form 2265
Temporary (Non-Resident) Press Pass (name, organization, control
number, and date of expiration); SEC Form 725, Identification/Access
Control Card Worksheet (various personal characteristics); and
Proximity Access Control Card (name, clearance(s), company and
division).
Authority for maintenance of the system:
The Federal Property and Administrative Services Act of 1949 (63
Stat. 377), as amended.
Purpose(s):
This system was primarily designed to permit access to SEC
facilities by SEC employees, members of the press, contractors and
consultants.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses.
These records and information contained in these records are used
as follows:
1. To the appropriate Federal, State or local agency responsible
for investigating, prosecuting, enforcing, or implementing a statute,
rule, regulation, or order, where the SEC becomes aware of an
indication of a violation or potential violation of civil or criminal
law or regulation;
2. To another Federal agency or to a court when the Government is
party to a judicial proceeding before the court;
3. To a Federal, State, or local agency, in response to its
requests, in connection with the hiring or retention of an employee,
the issuance of a security clearance, or the conducting of a security
or background investigation of an individual, to the extent that the
information is relevant and necessary to the requesting agency; and
4. To the Office of Inspector General for investigating
allegations of abuse, should they occur.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Retrievability:
By use of a database, records may be retrieved by the employee's
name and identification number.
Safeguards:
Records are safeguarded by restricted computer passwords, locked
file cabinets, and safes.
Retention and disposal:
Records are maintained in a computerized database and paper.
Electronic records, identification cards, and passes are destroyed
three months after expiration, revocation, or return to issuing
office, as provided in the National Archives and Records
Administration's General Records Schedule No. 11, Item 4.
System manger(s) and address:
Office of Administrative and Personnel Management, Operations
Center, Securities and Exchange Commission, 6432 General Green Way,
Mail Stop O-1, 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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Record access procedures:
Persons wishing to obtain information on the procedures for
gaining access to or contesting the contents of this record may
contact the Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6412 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting records procedures:
See record access procedures above.
Record source categories:
Inforamtion is provided by the SEC employee, contractor,
consultant, or press member being issued the identification card and
by the issuing official.
Exemptions claimed for the system:
None.
SEC-47
System name:
Disgorgement and Penalties Tracking System.
System location:
Securities and Exchange Commission, Office of the Secretary, 450
Fifth Street, NW, Mail Stop 0609, Washington, DC 20549-0609.
Categories of individuals covered by the system:
Individuals or entities that have been ordered to pay
disgorgement and/or monetary penalties in SEC injunctive actions and
administrative proceedings.
Categories of records in the system:
Information on individuals or entities from whom the Commission
is seeking or has obtained an order to pay disgorgement and/or
monetary penalties, including the individual's or entity's name; the
dates the Commission authorized, instituted, and/or settled an
action; the responsible Commission staff; the internal case tracking
number; the date the judgment or administrative order was entered;
the amount of disgorgement and/or monetary penalties to be paid; the
payment due date for disgorgement and/or monetary penalties; the date
and amount of payments; the amount of disgorgement waived; and the
status of debt collection efforts.
Authority for maintenance of the system:
15 U.S.C. 77h-1, 77t, 77x, 78u, 78ff, 79z-3, 80a-9, 80a-41, 80a-
48, 80b-3, and 80b-9.
Purpose(s):
The system is being initiated to enable the Commission's staff to
track the collection of disgorgement and monetary penalties arising
out of SEC-initiated civil actions and administrative proceedings to
enforce the federal securities laws.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions for disclosure specified at 5
U.S.C. 552a(b), the SEC's staff may use these records and the
information contained in the records routinely, as provided at 5
U.S.C. 552a(b)(3), as follows:
(1) To provide information to the Department of the Treasury, on
a quarterly and annual basis, on the Commission's monetary penalty
receivables;
(2) To provide information to the Department of the Treasury and
other federal agencies while assisting in the collection of past due
disgorgement and/or monetary penalties; and
(3) To provide information to persons, as appropriate, while
assisting in the collection of past due disgorgements and/or monetary
penalties.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically and on paper.
Retrievability:
Records may be retrieved electronically by the internal case
tracking number, the case name, and the individual's or entity's
name. Paper records may be retrieved by the internal case tracking
number.
Safeguards:
Paper records are kept in locked file cabinets. Electronic
records can be retrieved only by authorized persons using appropriate
passwords.
Retention and disposal:
Paper records and computer database records are maintained until
matter is closed plus 25 years.
System manager(s) and address:
Secretary, Office of the Secretary, Securities and Exchange
Commission, 450 Fifth Street, NW, Mail Stop 0609, Washington, DC
20549-0609.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual or entity may be
directed to the Privacy Act Officer, Securities and Exchange
Commission, Operations Center, 6432 General Green Way, Mail Stop O-5,
Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
See record access procedures above.
Record source categories:
Information is provided by Commission staff, and is extracted
from Commission memoranda, Commission releases, judgments, and
administrative orders. Additional information regarding the status of
payments is provided in the form of copies of checks and/or money
orders and from the Department of the Treasury's debt collection
referral program.
Exemptions claimed for the system:
None.
SEC-48
System name:
Fitness Center Membership, Payment, and Fitness Records.
System location:
Securities and Exchange Commission, Fitness Center, 450 Fifth
Street, NW, Washington, DC 20549.
Categories of individuals covered by the system:
Members of the SEC's staff who have become members of the Fitness
Center.
Categories of records in the system:
Membership applications, fee and payment information (including
electronic debit information), and fitness progress charts.
Authority for maintenance of the system:
5 U.S.C. 7901, et seq.
Purpose(s):
The system was initiated to enable SEC Fitness Center staff to
track Fitness Center membership, fee payments, and the physical
fitness of members.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
No routine use disclosures have been established for these
records. The records and information obtained in these records will
not be disclosed outside the SEC, unless mandated by law. See the
statutory conditions of disclosure at 5 U.S.C. 552a(b).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically and on paper.
Retrievability:
Records are retrieved by the individual's name or membership
number.
Safeguards:
Paper records are kept in locked file cabinets. Electronic
records can be retrieved only by authorized persons using appropriate
passwords.
Retention and disposal:
Records are maintained for as long as an individual is a member
of the Fitness Center plus six months.
System manager(s) and address:
Associate Executive Director, Office of Administrative and
Personnel Management, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-
2413.
Notification procedure:
All requests to determine whether this system of records contains
a record pertaining to the requesting individual or entity may be
directed to the Privacy Act Officer, Securities and Exchange
Commission, Operations Center, 6432 General Green Way, Mail Stop O-5,
Alexandria, VA 22312-2413.
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 Privacy Act Officer, Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria,
VA 22312-2413.
Contesting record procedures:
See record access procedures. above.
Record source categories:
All information is provided by Fitness Center members.
Exemption claimed for the system:
None.
SEC-49
System name:
Broker-Dealer Records.
System location:
Records filed before August 16, 1999: SEC, 450 Fifth Street, NW,
Washington, DC 20549; and
Records filed on or after August 16, 1999: NASD, 1390 Piccard
Drive, Rockville, MD 20850.
Categories of individuals covered by the system:
Registrants and officers, directors, principal shareholders, or
other individuals related to them.
Categories of records in the system:
Name, address, telephone number, social security number,
education, past and present employment, disciplinary history,
business relationships, and similar information.
Authority for maintenance of the system:
15 U.S.C. 78o.
Purpose(s):
To help the SEC staff process applications for registration or
exemption and related forms under the Securities Exchange Act of 1934
and implement the Federal securities laws and rules.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), the SEC staff may provide these records to:
(1) Any member of the general public upon request;
(2) Any Federal, state, local, or foreign government authority or
securities self-regulatory organization that is investigating a
violation or potential violation of a statute, rule, regulation, or
order;
(3) Any Federal, state, local, or foreign bar association or
similar licensing authority responsible for possible disciplinary
action;
(4) Any Federal, state, or local government or governmental
authority that is deciding to hire or retain an individual, sign a
contract, or issue a license, grant, or benefit;
(5) Any individual or entity appointed by a court of competent
jurisdiction or agreed upon by the parties to a pending court action
or administrative proceeding alleging a violation of the Federal
securities laws or rules; and
(6) Any contractor that performs, on the SEC's behalf, services
requiring the use of these records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records filed before August 16, 1999 in the SEC's custody are
maintained in paper, microfiche, or electronic formats. Records filed
on or after August 16, 1999 in the NASD's custody are maintained in
paper or electronic format (Web CRD).
Retrievability:
These records are retrievable by the name of, or a file number
assigned to, the registrant. Individual name access to these records
is available through the SEC's Name-Relationship Search Index.
Safeguards:
Non-computer records in the SEC's custody are maintained in a
central records facility that only authorized individuals may access.
The facility is locked, with security cameras and a 24-hour security
guard. Computer records, which are subject to data integrity
controls, require passcodes for database access.
Retention and disposal:
The records in the SEC's custody are transferred to the Federal
Records Center periodically for storage. They are controlled by file
number and retained under 17 CFR 200.80f. Permanent files are sent to
the National Archives and Records Administration after a specified
storage time at the Federal Records Center. Nine years from their
receipt by the NASD, the records in the NASD's custody are
transferred to the SEC for proper disposition.
System manager(s) and address:
Records filed before August 16, 1999--Records Officer, SEC
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.
Records filed on or after August 16, 1999--NASD, 1390 Piccard
Drive, Rockville, MD 20850.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedures:
Persons wishing to access or contest these records should write
the Privacy Act Officer, SEC Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Records Access Procedures, above.
Record source categories:
Applications for registration or exemption and related forms
filed with the SEC under the Securities Exchange Act of 1934.
Exemptions claimed for the system:
None.
SEC-50
System name:
Investment Adviser Records.
System location:
Records filed before January 1, 2001 and paper records filed
after January 1, 2001: SEC, 450 Fifth Street, NW, Washington, DC
20549; and Form ADV applications for registration, Form ADV
Amendments, and Form ADV-W withdrawal notices filed electronically on
IARD after January 1, 2001: NASDR, 9509 Key West Avenue, Rockville,
MD 20850.
Categories of individuals covered by the system:
Registrants and officers, directors, principal shareholders, or
other individuals related to them.
Categories of records in the system:
Name, address, telephone number, social security number,
education, past and present employment, disciplinary history,
business relationships, and similar information.
Authority for maintenance of the system:
15 U.S.C. 80b-3 and 80b-6a.
Purpose(s):
To help the SEC staff process applications for registration or
exemption and related forms under the Investment Advisers Act of 1940
and implement the Federal securities laws and rules.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), the SEC staff may provide these records to:
(1) Any member of the general public upon request;
(2) Any Federal, state, local, or foreign government authority or
securities or commodities self-regulatory organization that is
investigating a violation or potential violation of a statute, rule,
regulation, or order;
(3) Any Federal, state, local, or foreign bar association or
similar licensing authority responsible for possible disciplinary
action;
(4) Any Federal, state, or local government or governmental
authority that is deciding to hire or retain an individual, sign a
contract, or issue a license, grant, or benefit;
(5) Any individual or entity appointed by a court of competent
jurisdiction or agreed upon by the parties to a pending court action
or administrative proceeding alleging a violation of the Federal
securities laws or rules; and
(6) Any contractor that performs, on the SEC's behalf, services
requiring the use of these records.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records filed before January 1, 2001 and paper records filed
after January 1, 2001 in the SEC's custody are maintained on paper,
microfilm, or magnetic tape and in a computer system.
Form ADV applications for registration, Form ADV amendments and
Form ADV-W notices of withdrawal filed electronically on the IARD
after January 1, 2001 in the NASDR's custody are maintained in
electronic format (IARD).
Retrievability:
These records are retrievable by the name of, or a file number
assigned to, the registrant. Individual name access to these records
is available through the SEC's Name-Relationship Search Index.
Safeguards:
Non-computer records in the SEC's custody are maintained in a
central records facility that only authorized individuals may access.
The facility is locked, with security cameras and a 24-hour security
guard. Computer records, which are subject to data integrity
controls, require passcodes for database access.
Retention and disposal:
The records in the SEC's custody are transferred to the Federal
Records Center periodically for storage. They are controlled by file
number and retained under 17 CFR 200.80f.
System manager(s) and address:
Records filed before January 1, 2001 and paper records filed
after January 1, 2001--Records Officer, SEC Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413.
Form ADV applications for registration, Form ADV amendments and
Form ADV-W notices of withdrawal filed electronically on IARD after
January 1, 2001--NASDR, 9509 Key West Avenue, Rockville, MD 20850.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedures:
Persons wishing to access or contest these records should contact
the Privacy Act Officer, SEC Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Records Access Procedures, above.
Record source categories:
Registrations and related forms filed with the SEC under the
Investment Advisers Act of 1940.
Exemptions claimed for the system:
None.
SEC-51
System name:
Emergency Contingency Plan System.
System location:
SEC, 450 Fifth Street, NW., Washington, DC 20549.
Categories of individuals covered by the system:
Members and employees of the Commission.
Categories of records in the system:
Name; job title; organizational code number; work and home
addresses; work and personal electronic mail addresses; work, home,
and cellular telephone numbers; pager numbers.
Authority for maintenance of the system:
5 U.S.C. 301, Executive Order 12656 (Nov. 18, 1988), Assignment
of Emergency Preparedness Responsibilities.
Purpose(s):
The purpose of this system of records is to maintain emergency
contact information for current members and employees of the
Commission for use in developing and maintaining emergency
contingency operations plans, such as a formal continuity of
operations (COOP) plan, for the Commission. This data will be used
for alert and notification purposes, determining team and task
assignments, developing and maintaining an emergency contact system
for general emergency preparedness programs and specific situations.
COOP activities involve ensuring the continuity of minimum essential
agency functions through plans and procedures governing succession to
office and the emergency delegation of authority (where permissible).
Other emergency contingency plans include plans for Commission-wide
response to threat alerts issued by the Department of Homeland
Security (DHS).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the conditions of disclosure under 5 U.S.C.
552a(b), Commission staff may provide these records to any Federal
government authority for the purpose of coordinating and reviewing
agency continuity of operations plans or emergency contingency plans
developed for responding to Department of Homeland Security threat
alerts.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained on paper and in electronic format.
Retrievability:
These records are retrievable by individual's names, or by the
categories listed above under ``Categories of Records in the
System.''
Safeguards:
Access to the records is restricted to those who require the
records in the performance of official duties related to the purposes
for which the system is maintained.
Retention and disposal:
Periodic purging and disposal of those records concerning
individuals no longer members or employees of the Commission.
Otherwise, records are retained and disposed of in accordance with
the appropriate National Archives and Records Administration General
Records Schedules.
System manager(s) and address:
Executive Director, Office of the Executive Director, Securities
and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-
1101.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedures:
Persons wishing to access or contest these records should write
the Privacy Act Officer, SEC, Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Record Access Procedures, above.
Record source categories:
Records are obtained from the position control system and from
the individual.
Exemptions claimed for the system:
None.
SECURITIES AND EXCHANGE COMMISSION
Title 17-Commodity and Securities Exchange
Chapter II-Securities and Exchange Commission
PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
Sec.
200.301 Purpose and scope.I26200.302 Definitions.
200.303 Times, places and requirements for requests pertaining to
individual records in a record system and for the identification of
individuals making requests for access to the records pertaining to
them.
200.304 Disclosure of requested records.
200.305 Special procedure: Medical records.
200.306 Requests for amendment or correction of records.
200.307 Review of requests for amendment or correction.
200.308 Appeal of initial adverse agency determination as to access or
as to amendment or correction.
200.309 General provisions.
200.310 Fees.
200.311 Penalties.
200.312 Specific exemptions.
200.313 Inspector General exemptions.
Subpart H--Regulations Pertaining to the Privacy of Individuals and
Systems of Records Maintained by the Commission
Authority: 5 U.S.C. 552a(f), unless otherwise noted.
Section 200.312 is also issued under Pub. L. 93-579, sec. k, 5 U.S.C.
552a(k).
Section 200.313 is also issued under Pub. L. 93-579, sec. j, 5 U.S.C.
552a(j) and sec. k, 5 U.S.C. 552a(k).
Source: 40 FR 44068, Sept. 24, 1975, unless otherwise noted.
Sec. 200.301 Purpose and scope.
(a) The Privacy Act of 1974, Pub. L. 93-579, 88 Stat. 1896, is based,
in part, on the finding by Congress that ``in order to protect the
privacy of individuals identified in information systems maintained by
Federal agencies, it is necessary and proper for the Congress to
regulate the collection, maintenance, use, and dissemination of
information by such agencies.'' To achieve this objective the Act, among
other things, provides, with some exceptions, that Federal agencies
shall advise an individual upon request whether records maintained by
the agency in a system of records pertain to the individual and shall
grant the individual access to such records. The Act further provides
that individuals may request amendments or corrections to records
pertaining to them that are maintained by the agency, and that the
agency shall either grant the requested amendments or set forth fully
its reasons for refusing to do so.
(b) The Securities and Exchange Commission, pursuant to subsection (f)
of the Privacy Act, adopts the following rules and procedures to
implement the provisions of the Act summarized above, and other
provisions of the Act. These rules and procedures are applicable to all
requests for information, access or amendment to records pertaining to
an individual that are contained in any system of records that is
maintained by the Commission.
Sec. 200.302 Definitions.
The following definitions shall apply for purposes of this subpart:
(a) The terms individual, maintain, record, system of records, and
routine use are defined for purposes of these rules as they are defined
in 5 U.S.C. 552a(a)(2), (a)(3), (a)(4), (a)(5), and (a)(6).
(b) Commission means the Securities and Exchange Commission.
Sec. 200.303 Times, places and requirements for requests pertaining
to individual records in a record system and for the identification
of individuals making requests for access to the records pertaining
to them.
(a) Place to make request. Any request by an individual to be advised
whether any system of records maintained by the Commission and named by
the individual contains a record pertaining to him or her, or any
request by an individual for access to a record pertaining to him or her
that is contained in a system of records maintained by the Commission,
shall be submitted by mail to the Privacy Act Officer, SEC, Operations
Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by
facsimile (703-914-1149). All requests will be required to be put in
writing and signed by the individual making the request. In the case of
requests for access that are made by mail, the envelope should be
clearly marked ``Privacy Act Request.''
(1) Information to be included in requests. Each request by an
individual concerning whether the Commission maintains in a system of
records a record that pertains to him, or for access to any record
pertaining to the individual that is maintained by the Commission in a
system of records, shall include such information as will assist the
Commission in identifying those records as to which the individual is
seeking information or access. Where practicable, the individual should
identify the system of records that is the subject of his request by
reference to the Commission's notices of systems of records, which are
published in the Federal Register, as required by section (e)(4) of the
Privacy Act, 5 U.S.C. 552a(e)(4). Where a system of records is compiled
on the basis of a specific identification scheme, the individual should
include in his request the identification number or other identifier
assigned to him. In the event the individual does not know the specific
identifier assigned to him, he shall provide other information,
including his full name, address, date of birth and subject matter of
the record, to aid in processing his request. If additional information
is required before a request can be processed, the individual shall be
so advised.
(2) Verification of identity. When the fact of the existence of a
record is not required to be disclosed under the Freedom of Information
Act, 5 U.S.C. 552, as amended, or when a record as to which access has
been requested is not required to be disclosed under that Act, the
individual seeking the information or requesting access to the record
shall be required to verify his or her identity before access will be
granted or information given. For this purpose, individuals shall appear
at the Office of Freedom of Information and Privacy Act Operations, SEC,
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413,
during normal business hours of 9 a.m. to 4:30 p.m. e.s.t., Monday
through Friday, or at one of the Commission's Regional or District
Offices. The addresses and business hours of those offices are listed
below:
Northeast Regional Office. 7 World Trade Center, Suite 1300, New York,
NY 10048. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Boston District Office--73 Tremont Street, Sixth Floor, Suite 600,
Boston, MA 02108. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Philadelphia District Office--The Curtis Center, Suite 1005 E., 601
Walnut Street, Philadelphia, PA 19106. Office hours--9 a.m. to 5:30
p.m. E.S.T.
Southeast Regional Office. 1401 Brickell Avenue, Suite 200, Miami, FL
33131. Office hours--9:00 a.m. to 5:30 p.m. E.S.T.
Atlanta District Office--3475 Lenox Road, NE., Suite 1000, Atlanta, GA
30326. Office hours--9 a.m. to 5:30 p.m. E.S.T.
Midwest Regional Office. 500 West Madison Street, Suite 1400, Chicago,
IL 60661. Office hours--8:45 a.m. to 5:15 p.m. C.S.T.
Central Regional Office. 1801 California Street, Suite 4800, Denver, CO
80202. Office hours--8 a.m. to 4:30 p.m. M.S.T.
Fort Worth District Office--801 Cherry Street, 19th Floor, Fort Worth,
TX 76102. Office hours--8:30 a.m. to 5 p.m. C.S.T.
Salt Lake District Office--500 Key Bank Tower, 50 S. Main Street, Suite
500, Box 79, Salt Lake City, UT 84144. Office hours--8 a.m. to 4:30
p.m. M.S.T.
Pacific Regional Office. 5670 Wilshire Boulevard, 11th Floor, Los
Angeles, CA 90036. Office hours 8:30 a.m. to 5 p.m. P.S.T.
San Francisco District Office--44 Montgomery Street, Suite 1100, San
Francisco, CA 94104. Office hours--8:30 a.m. to 5 p.m. P.S.T.
None of the Commission's Offices are open on Saturday, Sunday or the
following legal holidays: New Year's Day, Martin Luther King, Jr.'s
Birthday, President's Day, Memorial Day, Independence Day, Labor Day,
Veterans' Day, Columbus Day, Thanksgiving Day or Christmas Day.
(3) Methods for verifying identity--appearance in person. An
individual seeking information as to records pertaining to him or access
to those records shall furnish documentation that may reasonably be
relied on to establish the individual's identity. Such documentation
might include a valid birth certificate, driver's license, employee or
military identification card, or medicare card.
(4) Method for verifying identity by mail. Where an individual cannot
appear at one of the Commission's Offices to verify his or her identity,
he or she must submit, along with the request for information or access,
a statement attesting to his or her identity. Where access is being
sought, the statement shall include a representation that the requested
records pertain to the individual and a statement that the individual is
aware that knowingly and willfully requesting or obtaining records
pertaining to an individual from the Commission under false pretenses is
a criminal offense. This statement shall be a sworn statement, or in
lieu of a sworn statement, an individual may submit an unsworn statement
to the same effect if it is signed by him or her as true under penalty
of perjury, dated, and in substantially the following form:
(i) If executed outside the United States: ``I declare (or certify,
verify, or state) under penalty of perjury under the laws of the United
States of America that the foregoing is true and correct.''
Executed on (date)--------
(Signature)
(ii) If executed within the United States, its territories,
possessions, or commonwealths: ``I declare (or certify, verify, or
state) under penalty of perjury that the foregoing is true and
correct.''
Executed on (date)--------
(Signature)
(5) Additional procedures for verifying identity. When it appears
appropriate, there may be made such other arrangements for the
verification of identity as are reasonable under the circumstances and
appear to be effective to prevent unauthorized disclosure of, or access
to, individual records.
(b) Acknowledgement of requests for information pertaining to
individual records in a record system or for access to individual
records. (1) Except where an immediate acknowledgement is given for
requests made in person, the receipt of a request for information
pertaining to individual records in a record system will be acknowledged
within 10 days after the receipt of such request. Requests will be
processed as promptly as possible and a response to such requests will
be given within 30 days (excluding Saturdays, Sundays, and legal
holidays) unless, within the 30 day period and for cause shown, the
individual making the request is notified in writing that a longer
period is necessary.
(2) When an individual appears in person at the Office of Information
and Privacy Act Operations, SEC, Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413, or at one of its Regional or District
Offices to request access to records pertaining to him, and such
individual provides the required information and verification of
identity, the Commission's staff, if practicable, will indicate at that
time whether it is likely that the individual will be given access to
the records and, if so, when and under what circumstances such access
will be given. In the case of requests received by mail, whenever
practicable, acknowledgement of the receipt of the request will be given
within 10 days after receipt (excluding Saturdays, Sundays, and legal
holidays). The acknowledgement will indicate, if practicable, whether or
not access likely will be granted and, if so, when and under what
circumstances.
[40 FR 44068, Sept. 24, 1975, as amended at 41 FR 44698, Oct. 12, 1976;
47 FR 26819, June 22, 1982; 52 FR 2677, Jan. 26, 1987; 54 FR 40862, Oct.
4, 1989; 54 FR 50307, Dec. 5, 1989; 59 FR 5945, Feb. 9, 1994; 59 FR
12543, Mar. 17, 1994; 65 FR 55185, 55186, Sept. 13, 2000]
Sec. 200.304 Disclosure of requested records.
(a) Initial review. Requests by individuals for access to records
pertaining to them will be referred to the Commission's Privacy Act
Officer who initially will determine whether access will be granted,
Provided, however, That a Director of a staff Division of the Commission
or Office head, other than the General Counsel, whose zone of
responsibility relates to the record requested (see 17 CFR 200.13 et
seq.), may make a determination that access is not lawfully required to
be granted and should not be granted, in which case he, and not the
Privacy Act Officer, shall make the required notification to the
individual making the request.
(b) Grant of request for access. (1) If it is determined that a
request for access to records pertaining to an individual will be
granted, the individual will be advised by mail that access will be
given at the designated Office of the Commission or a copy of the
requested record will be provided by mail if the individual shall so
indicate. Where the individual requests that copies of the record be
mailed to him or requests copies of a record upon reviewing it at a
Commission Office, the individual shall pay the cost of making the
requested copies, as set forth in Sec. 200.310 of this subpart.
(2) In granting access to an individual to a record pertaining to him,
such steps shall be taken by the Commission's staff as are necessary to
prevent the unauthorized disclosure at the same time of information
pertaining to individuals other than the person making the request or of
other information that does not pertain to the individual.
(c) Denial of request for access. If it is determined that access will
not be granted, the individual making the request will be notified of
that fact and given the reasons why access is being denied. The
individual also will be advised (1) of his right to seek review by the
General Counsel of the intital decision to deny access, in accordance
with the procedures set forth in Sec. 200.308 of this subpart; and (2)
of his right ultimately to obtain judicial review pursuant to 5 U.S.C.
552a(g)(1)(A) of a final denial of access by the General Counsel.
(d) Time for acting on requests for access. Access to a record
pertaining to an individual normally will be granted or denied within 30
days (excluding Saturdays, Sundays and legal holidays) after the receipt
of the request for access unless the individual making the request is
notified in writing within the 30 day period that, for good cause shown,
a longer time is required. In such cases, the individual making the
request shall be informed in writing of the difficulties encountered and
an indication shall be given as to when it is anticipated that access
may be granted or denied.
(e) Authorization to allow designated person to review and discuss rec
ords pertaining to another individual. An individual who is granted
access to records pertaining to him, and who appears at a Commission
Office to review the records, may be accompanied by another person of
his choosing. Where the records as to which access has been granted are
not required to be disclosed under provisions of the Freedom of
Information Act 5 U.S.C. 552, as amended, the individual requesting the
records, before being granted access, shall execute a written statement,
signed by him and the person accompanying him, which specifically
authorizes the latter individual to review and discuss the records. If
such authorization has not been given as described, the person who has
accompanied the individual making the request will be excluded from any
review or discussion of the records.
(f) Exclusion for certain records. Nothing contained in these rules
shall allow an individual access to any information compiled in
reasonable anticipation of a civil action or proceeding.
(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as
amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as
amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat.
833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38,
Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment
Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-
37, 80b-11))
[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13866, Apr. 9, 1984]
Sec. 200.305 Special procedure: Medical records.
(a) Statement of physician or mental health professional. When an
individual requests access to records pertaining to him that include
medical and/or psychological information, the Commission, if it deems it
necessary under the particular circumstances, may require the individual
to submit with the request a signed statement by his physician or a
mental health professional indicating that, in their opinion, disclosure
of the requested records or information directly to the individual will
not have an adverse effect on the individual.
(b) Designation of physician or mental health professional to receive
records. If the Commission believes, in good faith, that disclosure of
medical and/or psychological information directly to an individual could
have an adverse effect on that individual, the individual may be asked
to designate in writing a physician or mental health professional to
whom he would like the records to be disclosed, and disclosure that
otherwise would be made to the individual will instead be made to the
designated physician or mental health professional.
Sec. 200.306 Requests for amendment or correction of records.
(a) Place to make requests. A written request by an individual to
amend or correct records pertaining to him or her may be hand delivered
during normal business hours to the SEC, Operations Center, Room 1418,
6432 General Green Way, Alexandria, VA 22312-2414, or be sent by mail to
the Office of Information and Privacy Act Operations, SEC, Operations
Center, 6432 General Green Way, Alexandria, VA 22312-2413, or by
facsimile (703-914-1149).
(1) Information to be included in requests. Each request to amend or
correct a Commission record shall reasonably describe the record sought
to be amended or corrected. Such description should include, for
example, relevant names, dates and subject matter to permit the record
to be located among the records maintained by the Commission. An
individual who has requested that a record pertaining to him be amended
or corrected will be advised promptly if the record cannot be located on
the basis of the description given and that further identifying
information is necessary before his request can be processed. An initial
evaluation of a request presented in person will be made immediately to
ensure that the request is complete and to indicate what, if any,
additional information will be required. Verification of the
individual's identity as set forth in Sec. 200.303(a) (2), (3), (4) and
(5) may also be required.
(2) Basis for amendment or correction. An individual requesting an
amendment or correction to a record pertaining to him shall specify the
substance of the amendment or correction and set forth facts and provide
such materials that would support his contention that the record
pertaining to him as maintained by the Commission is not accurate,
timely or complete, or that the record is not necessary and relevant to
accomplish a statutory purpose of the Commission as authorized by law or
by Executive Order of the President.
(b) Acknowledgement of requests for amendment or correction. Receipt
of a request to amend or correct a record pertaining to an individual
normally will be acknowledged in writing within 10 days after such
request has been received. When a request to amend or correct is made in
person, the individual making the request will be given a written
acknowledgement when the request is presented. The acknowledgement will
describe the request received and indicate when it is anticipated that
action will be taken on the request. No acknowledgement will be sent
when the request for amendment or correction will be reviewed, and an
initial decision made, within 10 days from the date the request is
received.
[40 FR 44068, Sept. 24, 1975, as amended at 47 FR 26819, June 22, 1982;
65 FR 55186, Sept. 13, 2000]
Sec. 200.307 Review of requests for amendment or correction.
(a) Initial review. As in the case of requests for access, requests by
individuals for amendment or correction to records pertaining to them
will be referred to the Commission's Privacy Act Officer for an initial
determination, except that such requests may be considered by a Division
Director or Office Head (other than the General Counsel) as set forth in
Sec. 200.304(a) of this subpart.
(b) Standards to be applied in reviewing requests. In reviewing
requests to amend or correct records, the Privacy Act Officer, or
Division or Office head, will be guided by the criteria set forth in 5
U.S.C. 552a(e)(1), i.e., that records maintained by the Commission shall
contain only such information as is necessary and relevant to accomplish
a statutory purpose of the Commission as required by statute or
Executive Order of the President and that such information also be
accurate, timely, and complete. These criteria will be applied whether
the request is to add material to a record or to delete information from
a record.
(c) Time for acting on requests. Initial review of a request by an
individual to amend or correct a record pertaining to him shall be
completed as promptly as is reasonably possible and normally within 30
days (excluding Saturdays, Sundays and legal holidays) from the date the
request was received, unless unusual circumstances preclude completion
of review within that time. If the anticipated completion date indicated
in the acknowledgement cannot be met, the individual requesting the
amendment will be advised in writing of the delay and the reasons
therefor, and also advised when action is expected to be completed.
(d) Grant of requests to amend or correct records. If a request to
amend or correct a record is granted in whole or in part, the Privacy
Act Officer will: (1) Advise the individual making the request in
writing of the extent to which it has been granted; (2) amend or correct
the record accordingly; and (3) where an accounting of disclosures of
the record has been kept pursuant to 5 U.S.C. 552a(c), advise all
previous recipients of the record of the fact that the record has been
amended or corrected and the substance of the amendment or correction.
(e) Denial of requests to amend or correct records. If an individual's
request to amend or correct a record pertaining to him is denied in
whole or in part, the Privacy Act Officer will:
(1) Promptly advise the individual making the request in writing of
the extent to which the request has been denied;
(2) State the reasons for the denial of the request;
(3) Describe the procedures established by the Commission to obtain
further review within the Commission of the request to amend or correct,
including the name and address of the person to whom the appeal is to be
addressed; and
(4) Inform the individual that the Privacy Act Officer will provide
information and assistance to the individual in perfecting an appeal of
the initial decision.
(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as
amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as
amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat.
833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38,
Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment
Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-
37, 80b-11))
[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13866, Apr. 9, 1984]
Sec. 200.308 Appeal of initial adverse agency determination as to
access or as to amendment or correction.
(a) Administrative review. Any person who has been notified pursuant
to Sec. 200.304(c) that his request for access to records pertaining to
him has been denied, or pursuant to Section 307(e) of this subpart that
his request for amendment or correction has been denied in whole or in
part, or who has received no response to a request for access or to
amend within 30 days (excluding Saturdays, Sundays and legal holidays)
after his request was received by the Office of Information and Privacy
Act Operations (or within such extended period as may be permitted in
accordance with Sec. Sec. 200.304(d) and 200.307(c) of this subpart),
may appeal the adverse determination or failure to respond to the
General Counsel.
(1) The appeal shall be in writing and shall describe the record in
issue and set forth the proposed amendment or correction and the reasons
therefor.
(2) The appeal shall be delivered or sent by mail to the Office of
Information and Privacy Act Operations, SEC, Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413, or by facsimile (703-914-
1149).
(3) The applicant, if he wishes, may state such facts and cite such
legal or other authorities as he may consider appropriate in support of
his application.
(4) The General Counsel will make a determination with respect to any
appeal within 30 days after the receipt of such appeal (excluding
Saturdays, Sundays and legal holidays), unless for good cause shown, the
General Counsel shall extend that period. If such an extension is made,
the individual who is appealing shall be advised in writing of the
extension, the reasons therefor, and the anticipated date when the
appeal will be decided.
(5) In considering an appeal from a denial of a request to amend or
correct a record, the General Counsel shall apply the same standards as
set forth in Sec. 200.307(b).
(6) If the General Counsel shall conclude that access should be
granted, he or she shall issue an order granting access and instructing
the Privacy Act Officer to comply with Sec. 200.304(b).
(7) If the General Counsel shall conclude that the request to amend or
correct the record should be granted in whole or in part, he or she
shall issue an order granting the requested amendment or correction in
whole or in part and instructing the Privacy Act Officer to comply with
the requirements of Sec. 200.307(d) of this subpart, to the extent
applicable.
(8) If the General Counsel affirms the initial decision denying
access, he or she shall issue an order denying access and advising the
individual seeking access of (i) The order; (ii) the reasons for denying
access; and (iii) the individual's right to obtain judicial review of
the decision pursuant to 5 U.S.C. 552a(g)(1)(B).
(9) If the General Counsel determines that the decision of the Privacy
Act Officer denying a request to amend or correct a record should be
upheld, he or she shall issue an order denying the request and the
individual shall be advised of
(i) The order refusing to amend or correct the record and the reasons
therefor;
(ii) His or her right to file a concise statement setting forth his or
her disagreement with the General Counsel's decision not to amend or
correct the record;
(iii) The procedures for filing such a statement of disagreement with
the General Counsel;
(iv) The fact that any such statement of disagreement will be made
available to anyone to whom the record is disclosed, together with, if
the General Counsel deems it appropriate, a brief statement setting
forth the General Counsel's reasons for refusing to amend or correct;
(v) The fact that prior recipients of the record in issue will be
provided with the statement of disagreement and the General Counsel's
statement, if any, to the extent that an accounting of such disclosures
has been maintained pursuant to 5 U.S.C. 552a(c); and
(vi) The individual's right to seek judicial review of the General
Counsel's refusal to amend or correct, pursuant to 5 U.S.C.
552a(g)(1)(A).
(10) In appropriate cases the General Counsel may, in his or her sole
and unfettered discretion, refer matters requiring administrative review
of initial decisions to the Commission for determination and the
issuance, where indicated, of orders.
(b) Statement of disagreement. As noted in paragraph (a)(9)(ii) of
this section, an individual may file with the General Counsel a
statement setting forth his disagreement with the General Counsel's
denial of his request to amend or correct a record.
(1) Such statement of disagreement shall be delivered or sent by mail
to the Office of Freedom of Information and Privacy Act Operations, SEC,
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or
by facsimile (703-914-1149), within 30 days after receipt by the
individual of the General Counsel's order denying the amendment or
correction. For good cause shown this period can be extended for a
reasonable time.
(2) Such statement of disagreement shall concisely state the basis for
the individual's agreement. Generally a statement should be no more than
two pages in length, except an individual may submit a slightly longer
statement if it is necessary to set forth his disagreement effectively.
Unduly lengthy or irrelevant materials will be returned to the
individual by the General Counsel for appropriate revisions before they
become a permanent part of the individual's record.
(3) The record about which a statement of disagreement has been filed
will clearly note which part of the record is disputed and the General
Counsel will provide copies of the statement of disagreement and, if the
General Counsel deems it appropriate, provide a concise statement of his
or her reasons for refusing to amend or correct the record, to persons
or other agencies to whom the record has been or will be disclosed.
(4) In appropriate cases, the General Counsel may, in his or her sole
and unfettered discretion, refer matters concerning statements of
disagreement to the Commission for disposition.
(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as
amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as
amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat.
833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38,
Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment
Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-
37, 80b-11))
[40 FR 44068, Sept. 24, 1975, as amended at 42 FR 40190, Aug. 9, 1977;
47 FR 26819, June 22, 1982; 49 FR 13866, Apr. 9, 1984; 65 FR 55186,
Sept. 13, 2000]
Sec. 200.309 General provisions.
(a) Extensions of time. Pursuant to Sec. Sec. 200.303(b), 200.304(d),
200.307(c) and 200.308(a)(4) of this subpart, the time within which a
request for information, access or amendment by an individual with
respect to records maintained by the Commission that pertain to him
normally would be processed may be extended for good cause shown or
because of unusual circumstances. As used in these rules, good cause and
unusual circumstances shall include, but only to the extent reasonably
necessary to the proper processing of a particular request:
(1) The need to search for and collect the requested records from
field facilities or other establishments that are separate from the
Office processing the request. Many records of the Commission are stored
in Federal Records Centers in accordance with law--including many of the
documents which have been on file with the Commission for more than 2
years--and cannot be made available promptly. Other records may
temporarily be located at a Regional or District Office of the
Commission. Any person who has requested for personal examination a
record stored at the Federal Records Center or temporarily located in a
Regional or District Office of the Commission will be notified when the
record will be made available to him.
(2) The need to search for, collect, and appropriately examine a
voluminous amount of separate and distinct records which may be demanded
in a single request. While every reasonable effort will be made fully to
comply with each request as promptly as possible on a first-come, first-
served basis, work done to search for, collect and appropriately examine
records in response to a request for a large number of records will be
contingent upon the availability of processing personnel in accordance
with an equitable allocation of time to all members of the public who
have requested or wish to request records.
(3) The need for consultation, which shall be conducted with all
practicable speed, with another agency having a substantial interest in
the determination of the request, or among two or more components within
the Commission having substantial subject-matter interest therein.
(b) Effective date of action. Whenever it is provided in this Subpart
that an acknowledgement or response to a request will be given by
specific times, deposit in the mails of such acknowledgement or response
by that time, addressed to the person making the request, will be deemed
full compliance.
(c) Records in use by a member of the Commission or its staff.
Although every effort will be made to make a record in use by a member
of the Commission or its staff available when requested, it may
occasionally be necessary to delay making such a record available when
doing so at the time the request is made would seriously interfere with
the work of the Commission or its staff.
(d) Missing or lost records. Any person who has requested a record or
a copy of a record pertaining to him will be notified if the record
sought cannot be found. If he so requests, he will be notified if the
record subsequently is found.
(e) Oral requests; misdirected written requests--(1) Telephone and
other oral requests. Before responding to any request by an individual
for information concerning whether records maintained by the Commission
in a system of records pertain to him or to any request for access to
records by an individual, such request must be in writing and signed by
the individual making the request. The General Counsel will not
entertain any appeal from an alleged denial or failure to comply with an
oral request. Any person who has orally requested information or access
to records pertaining to him that he believes to have been improperly
denied to him should resubmit his request in appropriate written form in
order to obtain proper consideration and, if need be, administrative
review.
(2) Misdirected written requests. The Commission cannot assure that a
timely or satisfactory response will be given to written requests for
information, access or amendment by an individual with respect to
records pertaining to him that are directed to the Commission other than
in a manner prescribed in Sec. Sec. 200.303(a), 200.306(a),
200.308(a)(2), and 200.310 of this subpart. Any staff member who
receives a written request for information, access or amendment should
promptly forward the request to the Privacy Act Officer. Misdirected
requests for records will be considered to have been received by the
Commission only when they have been actually received by the Privacy Act
Officer in cases under Sec. 200.308(a)(2). The General Counsel will not
entertain any appeal from an alleged denial or failure to comply with a
misdirected request, unless it is clearly shown that the request was in
fact received by the Privacy Act Officer.
(5 U.S.C. 552a(f); sec. 19, Securities Act of 1933, 48 Stat. 85, as
amended; sec. 23, Securities Exchange Act of 1934, 48 Stat. 901, as
amended; sec. 20, Public Utility Holding Company Act of 1935, 49 Stat.
833; sec. 319, Trust Indenture Act of 1939, 53 Stat. 1173; sec. 38,
Investment Company Act of 1940, 54 Stat. 841; sec. 211, Investment
Advisers Act of 1940, 54 Stat. 855 (15 U.S.C. 77s, 78w, 79t, 77sss, 80a-
37, 80b-11))
[40 FR 44068, Sept. 24, 1975, as amended at 49 FR 13867, Apr. 9, 1984;
59 FR 5945, Feb. 9, 1994]
Sec. 200.310 Fees.
(a) A request by an individual for copies of a record pertaining to
him or her that is maintained by the Commission may be sent by mail to
the Office of Freedom of Information and Privacy Act Operations, SEC,
Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413, or
by facsimile (703-914-1149). There will be no charge assessed to the
individual for the Commission's expense involved in searching for or
reviewing the record. Copies of the Commission's records will be
provided by a commercial copier or by the Commission at rates
established by a contract between the copier and the Commission.
(b) Waiver or reduction of fees. Whenever the Privacy Act Officer
determines that good cause exists to grant a request for reduction or
waiver of fees for copying documents, he or she may reduce or waive any
such fees.
(Pub. L. 87-592, 76 Stat. 394, 15 U.S.C. 78d-1, 78d-2; Pub. L. 93-502;
11 U.S.C. 901, 1109(a))
[42 FR 56727, Oct. 28, 1977, as amended at 47 FR 26819, June 22, 1982;
49 FR 12686, Mar. 30, 1984; 50 FR 50287, Dec. 10, 1985; 65 FR 55186,
Sept. 13, 2000]
Sec. 200.311 Penalties.
Title 18 U.S.C. 1001 makes it a criminal offense, subject to a maximum
fine of $10,000, or imprisonment for not more than 5 years or both, to
knowingly and willingly make or cause to be made any false or fradulent
statements or representations in any matter within the jurisdiction of
any agency of the United States. 5 U.S.C. 552a(i) makes it a misdemeanor
punishable by a fine of not more than $5,000 for any person knowingly
and willfully to request or obtain any record concerning an individual
from the Commission under false pretenses. 5 U.S.C. 552a(i) (1) and (2)
provide criminal penalties for certain violations of the Privacy Act by
officers and employees of the Commission.
Sec. 200.312 Specific exemptions.
Pursuant to section (k) of the Privacy Act of 1974, the Chairman of
the Securities and Exchange Commission, with the concurrence of the
Commission, has deemed it necessary to promulgate the following
exemptions to specified provisions of the Privacy Act:
(a) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the following
systems of records maintained by the Commission shall be exempted from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) and 17
CFR 200.303, 200.304, and 200.306, insofar as they contain investigatory
materials compiled for law enforcement purposes:
(1) Enforcement Files;
(2) Office of General Counsel Working Files;
(3) Office of the Chief Accountant Working Files;
(4) Name-Relationship Index System;
(5) Rule 102(e) of the Commission's Rules of Practice--Appearing or
Practicing Before the Commission; and
(6) Agency Correspondence Tracking System.
(b) Pursuant to 5 U.S.C. 552a(k)(5), the systems of records containing
the Commission's (1) Office of Personnel Code of Conduct and Employee
Performance Files and (2) Personnel Security Files shall be exempt from
sections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of the
Privacy Act, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I),
and (f), and 17 CFR 200.303, 200.304, and 200.306 insofar as they
contain investigatory material compiled to determine an individual's
suitability, eligibility, and qualifications for Federal civilian
employment or access to classified information, but only to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence, or,
prior to September 27, 1975, under an implied promise that the identity
of the source would be held in confidence.
(Pub. L. 93-579, Sec. k, 5 U.S.C. 552a(k))
[40 FR 44073, Sept. 24, 1975, as amended at 52 FR 2677, Jan. 26, 1987;
54 FR 24332, June 7, 1989; 54 FR 46373, Nov. 3, 1989; 60 FR 32795, June
23, 1995; 65 FR 55186, Sept. 13, 2000]
Sec. 200.313 Inspector General exemptions.
(a) Pursuant to section (j) of the Privacy Act of 1974, the Chairman
of the Securities and Exchange Commission, with the concurrence of the
Commission, has deemed it necessary to promulgate the following
exemptions to specified provisions of the Privacy Act:
(1) Pursuant to, and limited by 5 U.S.C. 552a(j)(2), the system of
records maintained by the Office of Inspector General of the Commission
that contains the Investigative Files shall be exempted from the
provisions of 5 U.S.C. 552a, except subsections (b), (c) (1) and (2),
(e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i), and
17 CFR 200.303, 200.304, 200.306, 200.307, 200.308, 200.309 and 200.310,
insofar as the system contains information pertaining to criminal law
enforcement investigations.
(2) [Reserved]
(b) Pursuant to section (k) of the Privacy Act of 1974, the Chairman
of the Securities and Exchange Commission, with the concurrence of the
Commission, has deemed it necessary to promulgate the following
exemptions to specified provisions of the Privacy Act:
(1) Pursuant to, and limited by 5 U.S.C. 552a(k)(2), the system of
records maintained by the Office of Inspector General of the Commission
that contains the Investigative Files shall be exempted from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) and 17 CFR
200.303, 200.304, and 200.306, insofar as it contains investigatory
materials compiled for law enforcement purposes.
(2) [Reserved]
[55 FR 19872, May 14, 1990]