SEC-55, Information Pertaining or Relevant to SEC Registrants and Their Activities; SEC-56, Mailing, Contact and Other Lists; SEC-57, International Program Oversight Database (International--POD); and SEC-58, System for Enforcement Case Tracking and Routing (SECTR)

-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—SEC.

Securities and Exchange Commission, Washington, DC 20549. Duplicate copies may be maintained in SEC Regional and District Offices.

Records include information on officers, directors, principal shareholders, and certain other persons having a relationship with or a transaction with a registrant.

The records describe the individual's relationship to a registrant and other relevant material business information about the individual.

Title 15, United States Code, sections 79e, 77f, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p; and 80a-8.

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.

Storage:

Records are maintained in hard copy form or microform.

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.

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.

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.

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.

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.

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.

See Record access procedures above.

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.

-2 Applications for Registration or Exemption under the Investment Company Act of 1940.

SEC, 450 Fifth Street, NW, Washington, DC 20549.

Officers, directors, and other individuals related to investment companies.

Name, date of birth, address, telephone numbers, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.

15 U.S.C. 77f, 77g, 77h, 77j, 80a-6, and 80a-8.

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.

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.

Storage:

These records are maintained on paper, microfilm, or magnetic tape and in a computer system.

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.

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.

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.

Records Officer, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

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.

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.

See Records Access Procedures, above.

Applications for registration or exemption and related forms filed with the SEC under the Investment Company Act of 1940.

None.

-3 Notification of Exemption from Registration under the Securities Act of 1933--SEC.

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.

Records include information on officers, 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.

The records describe the individual's relationship to a registrant and other relevant material business information about the individual.

Title 15, United States Code, Section 77c(b).

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 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 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.

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 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.

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.

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.

Records contain public information and are available through Public Reference Section. Records are maintained in central records office, which is locked at night.

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.

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.

See Record access procedures above.

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.

-4 Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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).

Title 15, United States Code, Section 78m and 78n.

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.

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.

Storage:

Records are maintained in hard copy form and on magnetic tape and cards.

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.

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.

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.

Records Officer, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

Information is from public reports that are required by statute to be filed with the Commission.

-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--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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.

Title 15, United States Code, sections 78p, 79q, 80a-9, 80a-10, 80a-16, 80a-17, and 80a-30.

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.

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.

Storage:

Records are maintained in hard copy form and on magnetic tape and cards.

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.

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.

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.

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.

See record access procedures above.

Information for these records is extracted pursuant to the applicable sections of the various securities acts and regulations adopted pursuant thereto.

-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.

Securities and Exchange Commission, Washington, DC 20549. Records may also be maintained in SEC Regional and District Offices.

Records include information concerning officers, directors and certain shareholders of issuers required to file periodic reports with the Commission.

The records describe lawsuits, shareholdings, business transactions, relationships to the issuer and other relevant material business information about the individual.

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.

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.

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.

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.

Storage:

Records are maintained in hard copy form or microform.

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.

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.

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.

See Record access procedures above.

Periodic reports filed by registrants under the applicable Federal securities laws.

-7 Proposed Sale of Securities Records Filed under the Securities Act of 1933-SEC.

Securities and Exchange Commission, Washington, DC 20549. Records also may be maintained in SEC Regional and District Offices.

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.

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.

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).

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.

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.

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.

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.

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.

Storage:

Records are maintained in hard copy form and on magnetic tape and cards.

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.

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.

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.

See Record access procedures above.

Notices of proposed sale of securities filed under Rules 144, 236, 237, and 240 which have been promulgated 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.

Securities and Exchange Commission, Washington, DC 20549. Duplicate copies may be maintained in SEC Regional and Branch Offices.

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.

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.

Title 15, United States Code, 78n, 791 and 80a-20.

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.

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.

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.

Storage:

Records are maintained in hard copy form or microform.

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.

These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.

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.

See Record access procdedures above.

Information is obtained from proxy soliciting material filed with the Commission under the Federal securities laws.

-9 Correspondence Files Pertaining to Registered Broker-Dealers--SEC.

Securities and Exchange Commission, Washington, DC 20549. Records also are maintained in the SEC Regional and District Offices.

Individuals who are registered with the Commission as broker-dealers and persons associated with a registered broker-dealer.

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.

Title 15, United States Code, sections 78a et seq.

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.

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 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.

Storage:

Records are maintained in paper form and bound in file folders.

Information is indexed by name of registrant. Information regarding individuals may be obtained through the use of index systems.

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.

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.

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.

See Record access procedures above.

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.

-10 Correspondence Files Pertaining to Registered Investment Advisers--SEC.

Securities and Exchange Commission, Washington, DC 20549. Records also are maintained by the SEC's Regional and District Offices.

Investment advisers registered with the Commission and persons associated with registered investment advisers.

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.

Title 15, United States Code, sections 78d, 80b-1 et seq.

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).

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 regularory or law enforcement agencies of a foreign government.

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.

Storage:

The records are maintained in paper form and bound in a file folder.

Information is indexed by name of the registrant. Information regarding individuals may be obtained through the Commission's Name--Relationship Index system.

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.

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.

See Record access procedures above.

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.

-11 Correspondence Files Pertaining to Registered Investment Companies--SEC.

Securities and Exchange Commission, Washington, DC 20549. Records are also maintained by SEC Regional and District Offices.

Individuals associated with registered investment companies.

Records contain information relating to an individual's relationships and transactions with a registered investment company.

Title 15, United States Code, sections 78(b) and 80a-1 et seq.

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.

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.

Storage:

Records are maintained in paper form and bound in a file folder.

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.

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.

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.

See Record access procedures above.

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.

-12 Hearings, Proceedings and Studies--SEC.

Securities and Exchange Commission, Washington, DC 20549. Duplicate copies of these records may be maintained by SEC Regional and District Offices.

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.

Records include transcripts of testimony and documents filed by witnesses and others in such hearings or proceedings.

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.

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.

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.

Storage:

Records are maintained in hard copy form.

Individual name access is provided through the SEC Name-Relationship Index system.

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.

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.

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.

See Record access procedures above.

Transcripts of hearings, documents, reports and other submissions made to the SEC.

-13 No-action and Interpretative Letters--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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.

Information is voluntarily submitted by the person requesting the no-action or interpretative letter.

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.

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.

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.

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.

Storage:

Records are maintained as part of the general files of the Commission in hard copy form.

Individual name access is provided in cross-reference index maintained in the Classification Unit of the Office of Records.

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.

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.

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.

See Record access procedures above.

Communications sent to the Commission's staff requesting interpretations or no-action position.

-14 Administrative Audit System--SEC.

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-3, Alexandria, VA 22312-2413.

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.

31 U.S.C. 35.

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.

Storage:

Appropriate accounting data is stored in electronic media and paper form (e.g., purchase orders, memoranda, subsidiary ledgers, invoices, and other miscellaneous records).

These records are retrieved by the individual's name or social security number.

The records are maintained and disposed of in accordance with the General Services Administration, General Records Schedule 6, 7, 9, and 20.

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.

See record access procedures above.

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.

-15 Pay and Leave System.

(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.

Past and present SEC employees.

Payroll files, time and attendance reports, official personnel files, and service history files.

5 U.S.C. app. 21-89.

To locate SEC employees and determine such matters as their period of service, type of leave, qualifications, benefits, and pay.

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.

Storage:

Payroll files, official personnel files, and time and attendance reports are kept in paper or electronic format.

Official personnel files and payroll files are retrievable by an employee's name or social security number.

Only authorized employees of the SEC and other Federal government agencies may access these records.

These records are maintained and disposed of under General Records Schedule Nos. 2 and 20 of the General Services Administration.

Office of Administrative and Personnel Management, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

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.

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.

See Record Access Procedures, above.

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.

None.

-16 Administrative Law Judge Assignments and Dispositions of Administrative Proceedings--SEC.

Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.

Records are maintained on Administrative Law Judges.

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.

Title 15, United States Code, section 78d; Pub. L. 87-592, 76 Stat. 394; 17 CFR 200.30-9. 200.30-10.

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.

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.

Storage:

These records are maintained in file folders and are compiled in typewritten form.

The system is indexed by the name of administrative law judge.

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.

Records are maintained for at least a ten (10) year period, after which they are disposed of by shredding.

Chief Administrative Law Judge, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See record access procedures above.

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.

-17 Minutes Regarding Action Taken by the Commission-SEC.

Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

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.

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.

Title 15, United States Code, section 78d(b)

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.

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.

Storage:

These records are maintained on magnetic cards and in a Bowne Word One System.

These records are indexed by name.

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.

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.

Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

Records are compiled at meetings of the Commission.

-18 Applications for Relief From Disqualification Filed Under the Securities Act of 1933 and the Commission's Rules of Practice.

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.

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.

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.

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).

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.

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.

Storage:

Records are maintained in hard copy form in individual files.

Records are accessed by name of individual or issuer or registrant.

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.

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.

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.

See Record access procedures above.

Information concerning individuals is extracted from applications filed with the Commission for relief from disqualifications.

-19 Division of Corporation Finance and Support Office Working Files--SEC.

Securities and Exchange Commission, Washington, DC 20549.

Records are maintained on officers, directors, shareholders, and other persons having relationships with registrants.

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.

Title 15, United States Code, sections 77e, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p; 77eee.

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.

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 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.

Storage:

The records are maintained in hard copy form and stored on shelving.

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.

Access to these files is limited to authorized persons. The records are maintained in a building that has a 24-hour security guard.

These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.

Director, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.

See Record access procedures above.

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.

-20 Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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.

Title 15, United States Code, sections 77c(b), 78m(d) and 78n(d).

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.

To aid in responding to requests for information from Members of Congress, the press and the public concerning such filings and offerings.

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.

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.

Storage:

The records are maintained on index cards.

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.

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.

Records are maintained indefinitely.

Director, Division of Corporation Finance, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

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.

-21 Division of Investment Management Correspondence and Memoranda Files--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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.

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.

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.

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.

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.

Storage:

Index cards and paper copies of memoranda and items of correspondence are kept in file cabinets.

These records are indexed by name of registrant. Cross-indexing to individuals is available through the Commission's Name-Relationship Index system.

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.

Records are maintained indefinitely.

Director, Division of Investment Management, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

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.

-23 Staff Time and Activity Tracking System (STATS)--SEC.

Securities and Exchange Commission, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

Past and current SEC employees.

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.

Applicable sections in chapters 21 through 89 of Title 5 of the United States Code.

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.

Storage:

The records are maintained in file folders and on magnetic media.

The records are indexed by the employee's identification number and name.

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.

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.

Chief Management Analyst, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

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.

-24 Freedom of Information Act Requests--SEC.

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

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.

Records identify the individual requesting access to information, and the information sought and also may describe the individual's reasons for seeking the information.

5 U.S.C. 552, et seq., as amended.

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.

3. In connection with any litigation challenging or seeking to enjoin actions by the Commission under the Freedom of Information Act, as amended.

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.

Storage:

These records are maintained in hard copy form.

These records are indexed by name. Access to and use of these records is limited to those persons whose duties require such access.,

These records are kept in a locked office in a building having a 24-hour security guard.

Records are retained according to the General Records Schedule, published by the National Archives and Records Administration.

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.

See Record access procedures above.

Communications from individuals for information pursuant to the Freedom of Information Act, as amended.

-25 Office of Public Affairs, Policy Evaluation and Research Records--SEC.

Securities and Exchange Commission, Washington, DC 20549. Records may be maintained by regional and branch offices.

Records are maintained on SEC Commissioners and other SEC officials, business and financial reporters and editors.

Records include speeches by Commissioners and other Commission officials; telephone numbers and addresses of reporters and editors.

Information is given voluntarily to the Office of Public Affairs.

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.

Storage:

The speeches are kept in a filing cabinet and the press list is kept in a card index box.

Speeches are indexed by name and date. The press list is indexed by name and publication.

Office of Public Affairs is locked after working hours. The building where the records are maintained has a 24-hour security guard.

Records are kept indefinitely.

Director, Office of Public Affairs, Policy Evaluation and Research, Securities and Exchange Commission, 450 Fiofth Street NW, Washington, DC 20549.

See Record access procedures above.

Information is given voluntarily by reporters and editors and persons requesting copies of speeches.

-27 Name-Relationship Search System (NRS).

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail, Stop O-4, Alexandria, VA 22312-2413.

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.

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).

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.

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.

Storage:

The records are maintained on magnetic disk and tape.

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 original data in these other data bases or systems of records.

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.

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.

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.

See Record access procedures above.

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.

-28 Office of the Chief Accountant Working Files-SEC.

Securities and Exchange Commission, Washington, DC 20549.

Accountants and accounting firms.

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.

Title 15, United States Code, Sections 77g, 78l(b), 17 CFR 200.22.

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.

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 Currently, 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.

Storage:

File index cards and file folders.

Alphabetically by individual, subject, and firm. Information with respect to individuals is available through the Commission's Name-Relationship Index system.

Records are kept in locked filing cabinets and maintained in a building which has a 24-hour security guard.

Records are retained indefinitely.

Chief Accountant, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

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.

-29

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

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).

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.

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.

15 U.S.C. 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 78ll(d), 79t, 80a-37, and 80b-11.

The records will be used by the staff to track and process complaints/inquiries/requests from members of the public and others.

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.

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.

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.

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.

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.

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.

See Record access procedures above.

Information collected in all subsystems is received from individuals primarily through letters, telephone calls, or personal visits to the Commission's offices.

None.

-30 Office of General Counsel Work Files--SEC.

Securities and Exchange Commission, Washington, DC 20549.

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.

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.

Title 15, United States Code, section 78d(b).

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.

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.

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.

Storage:

Records are kept in paper form in file folders, binders and filing cabinets.

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.

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.

These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.

General Counsel, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

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.

-31 Office of General Counsel (Adjudication) Working Files-SEC.

Securities and Exchange Commission, Washington, DC 20549.

Records are maintained on individuals who were or are respondents in administrative proceedings instituted by the Commission.

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.

Title 15, United States Code, sections 77u, 78v, 79s, 77ttt, 80a-39, and 80b-12.

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.

7. To respond to request from Members of Congress or the public regarding the status or result of an administrative proceeding.

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.

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.

Storage:

These records are maintained in file folders which are stored in filing cabinets.

The records are indexed by case name. Individual information can be acquired through use of the Commission's Name-Relationship Index system.

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.

Records are maintained indefinitely.

Associate General Counsel (Adjudication), Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.

See Record access procedures above.

Information in these records is supplied by the parties in the administrative proceeding before the SEC, their counsel, and administrative law judges.

-32 Rule 102(e) of the Commission's Rules of Practice--Appearances and Practice Before the Commission --SEC.

Securities and Exchange Commission, Washington, DC 20549. Records may also be maintained by the SEC Regional and District Offices.

Records contain information on attorneys, accountants and other professionals who appear and practice before the Commission.

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.

Title 15, United States Code, sections 77s, 78w, 79t, 77sss, 80a-37, 80b-11; 17 CFR 201.102(e).

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.

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.

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.

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.

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.

Storage:

Records are maintained in hard copy form.

Records are accessed by individual name.

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.

Records are retained indefinitely.

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.

See Record access procedures above.

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.

-33 Administrative and Litigation Release System--SEC.

Securities and Exchange Commission, Washington, DC 20549. Records in this system also may be maintained at the SEC Regional and District Offices.

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.

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.

Title 15, United States Code, section 78d.

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.

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.

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.

Storage:

Records are kept in paper form in binders.

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.

The releases are kept in a building having a 24-hour security guard.

These records are kept indefinitely.

Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

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.

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.

See Record access procedures above.

Official files of Federal and State court and administrative proceedings.

-34 Administrative Proceedings Record Cards--SEC.

Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

Records are maintained on persons involved in administrative proceedings instituted by the Commission.

Records contain names and addresses of persons who are parties, respondents, and witnesses in SEC administrative proceedings.

Title 15, United States Code, sections 77u, 78v, 79s, 80a-40, and 80b-12.

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.

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.

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.

Storage:

Records are maintained on 5 x 8 inch cards and stored in filing boxes.

Individual name access for parties and witnesses provided through computer search of the Commission's Name-Relationship Index system.

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.

Records are retained indefinitely.

Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

See Record access procedures above.

Administrative Proceedings service list, notices of appearance, transcripts of testimony.

-35 Securities Violations Records and Bulletin--SEC.

Securities and Exchange Commission, Washington, DC 20549. Copies of the Securities Violations Bulletin are maintained by the SEC Regional and District Offices.

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.

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 taken 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.

Title 15, United States Code, sections 77s, 77t, 78u, 79r, 77uuu, 80a-41, and 80b-9.

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.

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.

Storage:

Records are maintained in hard copy form and on magnetic tape and cards.

No individual name access is provided but the reports are in alphabetical sequence by name and can be accessed in that manner.

These records are retained indefinitely. While no formal schedule exists, these records periodically are sent to a Federal Records Center for storage.

Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

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.

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.

See Record access procedures above.

Commission actions, State, Federal, local and foreign regulatory and enforcement agencies, and securities self-regulatory organizations.

-36 Administrative Proceeding Files--SEC.

Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

Records are maintained with respect to persons who are respondents in administrative proceedings and other persons involved in administrative proceedings including witnesses and attorneys.

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.

Title 15, United States Code, sections 77h(e), 78o-(b) and the Commission's rules of practice.

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.

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.

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).

9. To respond to inquiries from Members of Congress, the press and the public relating to pending or past administrative proceedings.

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 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.

Storage:

Records are maintained in hard copy.

Records are indexed by name of lead respondent cross-indexing to individual's name is available through the SEC Name-Relationship Index System.

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.

These records are retained indefinitely.

Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC 20549.

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.

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.

See Record access procedures above.

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.

-37 Automated Personnel Management Information System--SEC.

Securities and Exchange Commission, Washington, DC 20549.

SEC employees, past and present.

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.

5 CFR parts 213, 293, 302, and 335 and Office of Personnel Management Regulations promulgated thereunder.

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.

Storage:

The records are computerized and maintained on magnetic disk (current and historical records) and magnetic tape (historical records and backup).

Information is retrieved by name, employee identification code, or social security account number, via a generalized query capability.

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.

Computerized files on current employees will be retained during the time the employee is employed by the Commission and after separation from the Commission.

Associate Executive Director, Office of Administrative and Personnel Management, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.

See Record access procedures above.

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.

-38 Personnel Management Code of Conduct and Employee Performance Files.

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.

SEC employees, past and present.

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.

5 CFR parts 315, 351, 430, 451, 511, 735, 752, 771, Civil Service Regulations promulgated thereunder and 17 CFR 200.735-1 et seq.

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.

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.

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.

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.

Records are indexed by employee name. Data on computer listing is retrieved by special ID number as described above.

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.

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.

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.

See Record access procedures above.

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.

-39 Personnel Management Employment and Staffing Files.

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.

Records are maintained on applicants for SEC employment and present and past employees.

The system of records includes the following category of records:

(a) Applicant files (Computerized applications, Standard Forms 171 and resumes, attorney supplements to applications, applicant correspondence and evaluations, and summer employment files);

(b) Official personnel folders (Office of Human Resources files);

(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 electronic media; and

(i) Regional Office employee files, including copies of applications and notifications of personnel action (Standard Forms 50) on the employee concerned.

5 CFR, parts 213, 293, 302, and 335; 5 U.S.C. 3109 and Civil Service Regulations promulgated thereunder.

These records and the information contained in these records may be used or disclosed 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; and (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; and (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; and (iii) records for program effectiveness studies (to send questionnaires to supervisors who made selections under the program, for example). Supervisory appraisals are scored and used in determining employee's overall standing among all applicants for the job; they are sent to selecting supervisors for review if the employee is certified for consideration (interview).

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. 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. 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.

16. Records in this system may, at the discretion of the Commission's staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of inquiry.

17. To a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.

18. To the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular A-19 at any stage of the legislative coordination and clearance process as set forth in that circular.

19. To Commission contractors or their authorized employees, and other Federal agencies, as necessary, for the purpose of assisting the Commission in the efficient administration of its programs. These contractors will be required to maintain Privacy Act safeguards with respect to such records.

20. The information contained in this system may be used by the Commission in connection with organizational directories or similar records for internal management purposes.

Storage:

Records are maintained in electronic or paper form.

Records are indexed by name.

Records in categories (a)-(g) are pulled and re-filed by Office of Human Resources staff only and that Office is locked each evening. Access to official Personnel Folders is limited to employee concerned, his/her supervisors and administrative assistant, supervisors/administrative assistants considering him/her for a job or employee's designated representative; access by other individuals on official business is on a need-to-know basis as approved by the Associate Executive Director, Office of Human Resources. Personnel folders are locked in the Diebold file each evening. Division/Office Directors and Regional Directors are responsible for keeping employee record cards, electronic media or employee files (Regional Offices only) under lock and for assuring confidentiality. The national office in Washington, DC has a 24-hour security guard.

Records in category (a) are retained six months and then destroyed. Records in category (b) are forwarded to Federal Records Center 30 days after the employee leaves the SEC by retirement, resignation or death or forwarded to agency to which employee transfers as soon as new agency requests them. Records in category (c) are retained indefinitely. Records in category (d) are retained two years and then destroyed. Records in category (e) are retained indefinitely. Records in category (f) are retained five years and then destroyed. Records in category (g) are sent to the Office of Personnel Management at the end of the month if the applicant is hired. If the applicant is not hired, records are retained one year and then destroyed. Records in category (h) are retained indefinitely. Records in category (i) are retained while employee is assigned to office and forwarded to new SEC office if he/she transfers or destroyed if employee leaves the SEC.

Associate Executive Director, Office of Human Resources, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-1, Alexandria, VA 22312-2413.

See Record Access Procedures above.

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.

None.

-40 Personnel Management Training Files-SEC.

Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.

Records are maintained on SEC employees, present and past.

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.

5 U.S.C. 1302, 2951, 3301, 3372, 4103, 4113, and 4118; and 5 CFR part 410.

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.

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.

Storage:

Electronic media is maintained in a database, paper records are kept in binders and folders.

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.

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.

Records are retained for three (3) fiscal years and destroyed after completion of any applicable reporting requirements by the Office of Personnel Management.

See Record Access procedures above.

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.

None.

-41 Child Care Subsidy Program.

SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

Present and former SEC employees and their children and child care providers.

(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.

Sec. 643, Pub. L. 106-58, 113 Stat. 477.

To determine eligibility for, and the amount of, the child care tuition subsidy for lower income SEC employees.

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.

Storage:

These records are maintained in paper and/or electronic format.

These records are retrievable by the employee's name or social security number.

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.

These records will be maintained permanently until their official retention period is established.

Associate Executive Director, Office of Administrative and Personnel Management, SEC, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

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.

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.

See Record Access Procedures above.

Applications for child care subsidy and supporting records, which are voluntarily submitted by employees.

None.

-42 Enforcement Files.

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.

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.

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.

Title 15, United States Code, sections 77s, 77t, 78u, 79r, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

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.

Storage:

Paper records, microform, electronic and other media.

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.

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).

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.

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.

Individuas desiring to contest or amend information maintained in this system of records should direct their requests to the Privacy Act Officer.

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.

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).

-43 Office of Inspector General Investigative Files.

Office of Inspector General, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-2376.

This system of records contains records on individuals who are or have been subjects of the Office of Inspector General's investigations or inquiries relating to programs and operations of the Commission.

Incoming complaints and complaint logs; preliminary inquiry files and indexes; all correspondence relevant to the investigation; all internal staff memoranda; copies of all subpoenas issued during the investigation; affidavits, declarations and statements from witnesses; transcripts of testimony taken in the investigation and accompanying exhibits; documents and records or copies obtained during the investigation; working papers of the staff and other documents and records relating to the investigation; opening reports, investigative plans, progress reports, and closing reports; and investigative peer review files.

Inspector General Act of 1978, as amended, Pub. L. 95-452, 5 U.S.C. App.

The purpose of this system of records is to enable the Commission's Office of Inspector General to carry out its mandate under the Inspector General Act Amendments of 1988. The system will consist of files and records compiled by the Commission's Office of Inspector General on Commission employees or other persons who have been part of an investigation for fraud and abuse with respect to the Commission's programs and operations.

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, 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 or inquiry.

(3) To Federal, foreign, state, or local governmental authorities in response to their request in connection with the hiring or retention of an employee, disciplinary or other administrative action concerning an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision in the matter.

(4) To non-governmental parties where those parties may have information the Office of Inspector General seeks to obtain in connection with an investigation or inquiry.

(5) To independent auditors or other private firms or individuals with which the Office of Inspector General has contracted to carry out an independent audit, or to provide support for audits, reviews, investigations or other inquiries. These contractors will be required to maintain Privacy Act safeguards with respect to such records.

(6) To respond to subpoenas in any litigation or other proceeding.

(7) To the Department of Justice and/or the Office of General Counsel of the Commission when the defendant in litigation is: (a) Any component of the Commission or any employee of the Commission or any employee of the Commission in his or her official capacity; (b) the United States where the Commission determines that the claim, if successful, is likely to directly affect the operations of the Commission; or (c) any Commission employee in his or her individual capacity where the Department of Justice and/or the Office of General Counsel of the Commission agree to represent such employee.

(8) To a Congressional office in response to an inquiry from the Congressional office made at the request of an individual but only from the record of that individual.

(9) To inform complainants, victims, and witnesses of the results of an investigation or inquiry.

(10) To qualified individuals or organizations in connection with the performance of a peer review or other study of the Office of Inspector General's audit or investigative functions.

(11) To a Federal agency responsible for considering debarment or suspension action if the record would be relevant to such action.

(12) To the Department of Justice for the purpose of obtaining its advice on Freedom of Information Act matters.

(13) To the Office of Management and Budget for the purpose of obtaining its advice on Privacy Act matters.

(14) To a public or professional licensing organization if the record indicates, either by itself or in combination with other information, a violation or potential violation of professional standards, or reflects on the moral, educational, or professional qualifications of an individual who is licensed or who is seeking to become licensed.

(15) To the Office of Government Ethics (OGE) to comply with agency reporting requirements established by OGE in 5 CFR part 2638, subpart F.

(16) 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).

(17) To the Integrity Committee of the President's Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency, another Federal Office of Inspector General, or other Federal law enforcement office in connection with an investigation, inquiry or review conducted pursuant to Executive Order 12993, or at the request of the SEC Inspector General.

Storage:

The Office of Inspector General Investigative Files consists of paper records maintained in folders, binders and logbooks; various records in electronic form; and an automated data base. The folders, binders and logbooks are stored in the Office of Inspector General's file cabinets and offices. The automated data base and electronic records are maintained on a file server and backup tapes in encrypted form.

The records are retrieved by the name of the subject of the investigation or inquiry, or by a unique control number assigned to each investigation or inquiry.

These records are available only to those persons whose official duties require such access. The records are kept in limited access areas during duty hours and in locked file rooms or locked offices at all other times.

The Investigative Files are kept in accordance with the Office of Inspector General's record retention schedule.

Inspector General, Office of Inspector General, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-2736.

All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.

Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of this record may contact the Privacy Act Officer, U.S. Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.

Information in these records is supplied by: Individuals including, where practicable, those to whom the information relates; witnesses, corporations and other entities; records of individuals and of the Commission; records of other entities; Federal, foreign, state or local bodies and law enforcement agencies; documents and correspondence relating to litigation; transcripts of testimony; and miscellaneous other sources.

Pursuant to 5 U.S.C. 552a(j)(2), this system of records, to the extent it pertains to the enforcement of criminal laws, is exempted from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i).

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.

-45 Public Transportation Subsidy Program.

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.

SEC employees who use public transportation.

Records include the employee's name, date of hire, social security number, organization, grade, and date of annual certification.

Exec. Order 12191; Pub. L. 101-509, Section 629; Pub. L. 103-172; 26 CFR 1.132-6; and 42 U.S.C. 13201.

The system is primarily designed to encourage employees to use public transportation as a means to conserve petroleum, reduce congestion, and improve air quality.

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.

Records are maintained alphabetically and retrieved by the employee's name.

Computerized records are safeguarded by restricted passwords and the paper records are locked in file cabinets.

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.

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.

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.

See record access procedures above.

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.

None.

-46 Identification and Access Control Cards, Special Credentials, Press Passes, and Building Access Control Cards.

Securities and Exchange Commission, Office of Administrative Services, 100 F Street, NE., Washington, DC 20549-1627.

Commission employees, members of the press, contractors, volunteers, tenants, and consultants or employees of other Federal agencies who require access to Commission facilities for extended periods of time.

Records include Government Personal Identity Verification (PIV) Card (The SEC PIV Card provider is the General Services Administration (GSA), and the full list of card fields maintained in the GSA system is covered by the GSA system of records, GSA-GOVT-7, Personal Identity Verification Identity Management System (PIV IDMS). The SEC system of records contains the following: name, date of birth, weight, height, color of hair and eyes, photograph, employee record number, card chip number, authorized access rights, date of issuance, date of return, date background investigation completed, whether eligible for an SEC Special Credential [SEC Form 990], and date of expiration); SEC Form 980, Headquarters and Field Office Access Card (name, date of birth, weight, height, color of hair and eyes, photograph, employee record number, card chip number, authorized access rights, date of issuance, and date of expiration); SEC Form 980A, Day Pass (date, name, organization, and authorized by); SEC Form 990, Special Credential (signature of authorizing official, photograph, control number, date of issuance and date of expiration); SEC Form 2355, On-Site Business & Registered Client ID (name, requesting officer, name of company or organization, control number, identification number, date of issue, expiration date, relationship to business, date of birth, color of hair and eyes, height, weight, photograph, and authorized access rights); SEC Form 725, Identification/Access Control Card Worksheet (various personal characteristics); and local facility access card (name, authorized access rights, card number, date issued and date of expiration, company/agency name and SEC division/office).

Note: The extent to which the Commission has records of a personnel investigative nature that come from the Office of Personnel Management (OPM) or its contractors, they are covered by OPM/CENTRAL-9, Personnel Investigations Records, and not this system notice.

The Federal Property and Administrative Services Act of 1949 (63 Stat. 377), as amended; Homeland Security Presidential Directive 12 (HSPD-12), Policy for a Common Identification Standard for Federal Employees and Contractors, August 27, 2004.

This system is primarily designed to permit access according to authorized access rights to Commission facilities by Commission employees, contractors, consultants, volunteers, tenants, members of the press, and employees of other Federal agencies (only if they require access to Commission facilities for extended periods of time). This system also provides the status indicator of the PIV Cards to a separate secure database as required by Homeland Security Presidential Directive (HSPD)--12 so that other Federal agencies may verify the identity and current status of the PIV cardholder.

These records and information contained in these records may be disclosed 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 Commission 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;

4. To the Office of Inspector General for investigating allegations of abuse, should it occur;

5. To other Federal agencies to verify the identity and status of the PIV Card holder;

6. To Commission contractors or their authorized employees, and other Federal agencies, as necessary, for the purpose of assisting the Commission in the efficient administration of its programs. These contractors will be required to maintain Privacy Act safeguards with respect to such records; and

7. In connection with organizational directories or similar records for internal management purposes.

Storage:

Records are stored in electronic media and in paper files.

Records may be retrieved by the employee's name or identification number.

Records are safeguarded by restricted computer passwords, locked file cabinets, and safes.

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.

Office of Administrative Services, Security Branch, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.

See record access procedures above.

The issuing official, Commission employee, contractor, volunteer, on-site business owner or client, employee of other Federal agency, visitor, or press member being issued the identification/access card provides the information.

None.

-47 Disgorgement and Penalties Tracking System.

Securities and Exchange Commission, Office of the Secretary, 450 Fifth Street, NW, Mail Stop 0609, Washington, DC 20549-0609.

Individuals or entities that have been ordered to pay disgorgement and/or monetary penalties in SEC injunctive actions and administrative proceedings.

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.

15 U.S.C. 77h-1, 77t, 77x, 78u, 78ff, 79z-3, 80a-9, 80a-41, 80a-48, 80b-3, and 80b-9.

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.

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.

Storage:

Records are maintained electronically and on paper.

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.

Paper records are kept in locked file cabinets. Electronic records can be retrieved only by authorized persons using appropriate passwords.

Paper records and computer database records are maintained until matter is closed plus 25 years.

Secretary, Office of the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Mail Stop 0609, Washington, DC 20549-0609.

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.

See record access procedures above.

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.

None.

-49 Broker-Dealer Records.

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.

Registrants and officers, directors, principal shareholders, or other individuals related to them.

Name, address, telephone number, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.

15 U.S.C. 78o.

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.

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;

(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;

(6) Any contractor that performs, on the SEC's behalf, services requiring the use of these records.

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).

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.

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.

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.

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.

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.

See Records Access Procedures, above.

Applications for registration or exemption and related forms filed with the SEC under the Securities Exchange Act of 1934.

None.

-50 Investment Adviser Records.

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.

Registrants and officers, directors, principal shareholders, or other individuals related to them.

Name, address, telephone number, social security number, education, past and present employment, disciplinary history, business relationships, and similar information.

15 U.S.C. 80b-3 and 80b-6a.

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.

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;

(6) Any contractor that performs, on the SEC's behalf, services requiring the use of these records.

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).

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.

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.

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.

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.

See Records Access Procedures, above.

Registrations and related forms filed with the SEC under the Investment Advisers Act of 1940.

None.

-51 Emergency Contingency Plan System.

SEC, 450 Fifth Street, NW., Washington, DC 20549.

Members and employees of the Commission.

Name; job title; organizational code number; work and home addresses; work and personal electronic mail addresses; work, home, and cellular telephone numbers; pager numbers.

5 U.S.C. 301, Executive Order 12656 (Nov. 18, 1988), Assignment of Emergency Preparedness Responsibilities.

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).

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.

Storage:

These records are maintained on paper and in electronic format.

These records are retrievable by individual's names, or by the categories listed above under "Categories of Records in the System."

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.

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.

Executive Director, Office of the Executive Director, Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549-1101.

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.

See Record Access Procedures, above.

Records are obtained from the position control system and from the individual.

None.

-52 Visitor Badge and Employee Day Pass System.

U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549.

Visitors from the public, other Federal agencies, Commission employees who require a Day Pass and Commission employees who pre-register or authorize visitors. The system also covers individuals or organizations that send and/or deliver trackable mail to the Commission (e.g., express mail, courier mail, or other forms of mail that is tracked from the sender to the recipient).

Records may include name, photograph, signature, company name, the number of the printed badge issued for each visit, visitor category, business phone number, fax number, address, e-mail address, Web site if available, other information from scanned business cards, and the location, date, and time of entry to the secure Commission facility. Records will also include the following information from scanned driver's licenses: Date of birth, weight, height, color of hair and eyes, date of expiration, and issuing jurisdiction (license numbers will not be saved in the system). Further information contained within the system will be the name and title of the person being visited, the reason for the visit to the facility, notation of approved parking, and the name, phone number and e-mail address of Commission personnel requesting authorization for the visitor access. The system will maintain check in and check out times, current status of visitor, and a custom ID number assigned sequentially by the system software for each visitor record. The software system and data base has a module for tracking packages as well. Records include package check in time, quantity of packages, name of employee to whom the package is addressed, location of package, sender's name, type of package, added description (if appropriate), carrier/agent delivering the package, time and name of person to whom package is delivered (final destination within the Commission), and a custom ID number assigned sequentially by the system software for each visitor record.

5 U.S.C. 301 and Executive Order 13231 of October 16, 2001 on Critical Infrastructure Protection.

This system was primarily designed to permit access to Commission facilities by public visitors and representatives from other Federal agencies. It is also used to issue day passes for Commission staff members or contract employees who are not presently in possession of their ID and need to enter the workplace to perform their duties. The system is further used to record and monitor the status of trackable (special handling) mail.

These records and information contained in these records may be disclosed 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 Commission or other appropriate Federal, State or local agency may be aware of an indication of an actual or potential health, safety or national security concern or a violation or potential violation of civil or criminal law or regulation;

(2) To another Federal agency, in connection with a court proceeding when the Government is party to a proceeding before the court or to an adjudicative tribunal when the Government is appearing in a proceeding before that tribunal;

(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;

(4) To the Office of the Inspector General for investigating allegations of abuse or misconduct, or to perform other functions within the jurisdiction of the Office of the Inspector General; and

(5) To the Commission Security Branch and/or the Office of the Inspector General in routine and ad hoc reports to review visitor and day pass activity and to assess compliance with established security procedures and policies.

Storage:

Records are maintained in a computerized database and on paper. Paper documents are kept in filing cabinets in secured facilities.

By use of a database, records may be retrieved by the individual's name, date of visit and/or badge number (as printed in the form of a bar code on the badge).

Records are safeguarded by restricted computer passwords, locked file cabinets, and safes.

Records are maintained in a computerized database and on paper. Printed badges, and returned passes (and corresponding electronic records) are destroyed three months after expiration, revocation, or return to issuing office, as provided in the National Archives and Records Administration's General Records Schedule No. 11, Item 4.

Chief of Security Branch, Office of Administrative Services, Security Branch, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.

See record access procedures above.

Information is provided by the visitor seeking access to Commission facilities to meet with Commission employees or contractors, by Commission employees who pre-register visitors, and by Commission employees or badged contractors who do not have their ID and yet seek access to their workplace for official business. Additionally, information is provided by individuals sending trackable (special handling) mail. Information is further provided by carriers and/or agents that deliver such mail. Persons who decline to provide the requested information will be denied access.

None.

-53 Automated Emergency Notification System.

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

Members and employees of the Commission, and selected contractors.

Name, Commission division or office, home zip code, work and personal electronic mail addresses, work, home and cellular telephone numbers, and Blackberry PIN numbers.

5 U.S.C. 301 and Executive Order 12656 of Nov. 18, 1988 on Assignment of Emergency Preparedness Responsibilities.

The purpose of this system of records is to maintain emergency contact information for current members, employees and selected contractors of the Commission. The system provides for high-speed message delivery that reaches all Commission personnel in response to threat alerts issued by the Department of Homeland Security, weather related emergencies or other critical situations that disrupt the operations and accessibility of a worksite. The system also provides for personnel accountability during an emergency, through personnel sign-in and rapid alert and notification.

Storage:

Records are maintained in a computerized database and on paper. Paper documents are kept in filing cabinets in secured facilities.

Records may be retrieved by the individual's name or by the categories listed above under "Categories of Records in the System."

Records are safeguarded by restricted computer passwords, locked file cabinets, and safes. Access to the records is restricted to those who require the records in the performance of official duties related to the purposes for which the system is maintained.

Periodic purging and disposal of those records concerning individuals no longer members, employees or contractors of the Commission. Otherwise, records are retained and disposed of in accordance with the appropriate National Archives and Records Administration General Records Schedules.

Executive Director, Office of the Executive Director, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1627.

See record access procedures above.

Information is provided by current members and employees of the Commission and selected contractors.

None.

-54 Photographic Files.

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

Commission staff, visitors from other Federal agencies and members of the public.

The records in the system include photographic prints, negatives, and slides. Records may also include digital photographs, as well as digitized images of photographic prints, negatives, and slides. Indexing data, including such data elements as date, event, and personal name, will be created for these materials.

5 U.S.C. 301, Departmental Regulations.

Photographic files are provided to the Securities and Exchange Commission library ("Library") on an ongoing basis for inclusion in the Library's collection. Many of the photographic materials in the collection are old and fragile. Repeated handling of these materials causes further damage. Digitizing this collection will support the preservation of these materials, and indexing the collection by such information as date, event, and personal name, will make these materials accessible to Commission staff and the public.

These records may be disclosed to the public as follows:

(1) For reproduction by Commission staff organizing such events as awards ceremonies, farewell ceremonies and receptions, Commission anniversary ceremonies and receptions, and Commission training and educational programs;

(2) For distribution and presentation for news, public relations and community affairs purposes; and

(3) In support of research activities conducted by staff of the Commission and other Federal agencies, as well as members of the public.

Storage:

The photographic prints, negatives, and slides are stored in the Commission's Library in a locked file room. These photographic materials will be transferred to the Office of Filings and Information Services after they have been digitized. Digital images, along with indexing data, will be stored on secure Commission servers and made available on the Commission's intranets and public Web site, as appropriate.

Records may be retrieved by such information as date of event, name of event, and/or name(s) of individual(s), where such information is available.

Physical photographic materials are stored in a locked file room in the Commission's Library. The Library is in a secured area. Digital records and indexing data are stored on secure servers. Server access is limited to authorized personnel whose duties require such access.

Physical and electronic photographic file records are permanent. Records will be retired to Washington National Records Center.

Cynthia Plisch, Assistant Director, Reference and Information Services, Securities and Exchange Commission, Library, 100 F Street, NE., Room 1550, Washington, DC 20549-1550, 202-551-5450.

Individuals seeking to determine whether information about themselves is contained in this system should address written inquiries to: Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.

Persons wishing to obtain information on the procedures for gaining access to, or contesting the contents of, this record may contact: Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413.

See record access procedures above.

Photographic files are provided to the Library for inclusion in the Library's collection on an ongoing basis. Donors include Commission employees who have photographed an event or individuals donating their photographic collections to the Library for the purposes of preservation and access. Indexing information is derived from information recorded on photographs, or from Commission staff or other individuals who have knowledge of the event and individuals photographed.

None.

-55 Information Pertaining or Relevant to SEC Registrants and Their Activities.

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

Records concern individuals associated with entities or persons that are registered with the SEC as broker-dealers, investment advisers, investment companies, self-regulatory organizations, clearing agencies, nationally recognized statistical rating organizations, and transfer agents (individually, a "Registrant;" collectively, "Registrants"). Records may also concern persons, directly or indirectly, with whom Registrants or their affiliates have client relations or business arrangements.

Records may contain information relating to the business activities and transactions of Registrants and their associated persons, as well as their compliance with provisions of the federal securities laws and with rules of self-regulatory organizations and clearing agencies. Records may also contain information regarding the business activities and transactions of individuals or entities with whom Registrants have client relations or business arrangements.

15 U.S.C. 78a et seq., 80a-1 et seq., and 80b-1 et seq.

1. For use by authorized SEC personnel in connection with their official functions including, but not limited to, the conduct of examinations for compliance with federal securities laws, investigations into possible violations of the federal securities laws, and other matters relating to the SEC's regulatory and law enforcement functions.

2. To maintain continuity within the SEC as to each Registrant and to provide SEC staff with the background and results of earlier examinations of Registrants, as well as an insight into current industry practices or possible regulatory compliance issues.

3. To conduct lawful relational searches or analysis or filtering of data in matters relating to the SEC's examination, regulatory or law enforcement functions.

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, these records or information contained therein may specifically be disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:

1. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the SEC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the SEC or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the SEC's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.

2. To coordinate law enforcement activities between the SEC and other federal, state, local or foreign law enforcement agencies, securities self-regulatory organizations and foreign securities authorities.

3. By SEC personnel for purposes of investigating possible violations of, or to conduct investigations authorized by, the federal securities laws.

4. In connection with investigations or disciplinary proceedings by a state securities regulatory authority, a foreign securities authority, or by a self-regulatory organization involving one or more of its members.

5. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, state, local, foreign or a securities-related self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

6. In connection with their regulatory and enforcement responsibilities mandated by the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the SEC, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including, but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government.

7. In any proceeding where the federal securities laws are in issue or in which the SEC or past or present members of its staff is a party or otherwise involved in an official capacity.

8. In connection with proceedings by the SEC pursuant to Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).

9. When considered appropriate, referred to a bar association or similar federal, state or local licensing authority for possible disciplinary action.

10. To disclose as a "routine use" to a federal, state or local governmental authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.

11. To disclose to a federal, state or local governmental authority, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

13. To disclose as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the federal securities laws (as defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47) or the SEC's Rules of Practice, 17 CFR 201 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the SEC of the federal securities laws or the SEC's Rules of Practice.

14. To disclose to any person during the course of any inquiry or investigation conducted by the SEC staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.

15. To disclose to any person with whom the SEC contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the SEC and its staff in connection with their official duties or to any person who is utilized by the SEC to perform clerical, stenographic or data analysis functions relating to the official business of the SEC.

16. To disclose in reports published by the SEC pursuant to authority granted in the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)).

17. To disclose to members of advisory committees that are created by the SEC or by Congress to render advice and recommendations to the SEC or to Congress, to be used solely in connection with their official, designated functions.

18. To disclose as a routine use to any person who is or has agreed to be subject to the SEC's Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the SEC of possible violations of federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the SEC for such violations, or otherwise in connection with the SEC's enforcement or regulatory functions under the federal securities laws.

19. To disclose to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.

20. To aid in responding to requests from Members of Congress and the public relating to particular Registrants and their activities.

21. To disclose to interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

Storage:

Records are maintained in electronic format, paper form, magnetic disk and tape. Electronic records are stored in computerized databases. Paper, magnetic disk or tape records are stored in locked file rooms or metal file cabinets.

Information is indexed by name of the Registrant or by certain SEC identification numbers. Information regarding individuals may be obtained through the use of cross-reference methodology or some form of personal identifier. Access for inquiry purposes is via a computer terminal.

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.

These records will be maintained until they become inactive, at which time they will be retired or destroyed in accordance with records schedules of the United States Securities and Exchange Commission and as approved by the National Archives and Records Administration.

Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Alexandria, VA 22312-2413.

All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.

Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/PA Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.

See Record Access Procedures above.

Record sources include filings made by Registrants; information obtained through examinations or investigations of Registrants and their activities; information contained in SEC correspondence with Registrants; information received from other federal, state, local, foreign or other regulatory organizations or law enforcement agencies; complaint information received by the SEC via letters, telephone calls, e-mails or any other form of communication; and data obtained from third-party sources.

None.

-56 Mailing, Contact and Other Lists.

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

Records contain information related to individuals and employees who submit requests for information, subscriptions, inquiries, guidance, informal advice and other assistance to the SEC in any format, including but not limited to paper, telephone, and electronic submissions; SEC personnel assigned to handle such correspondence; individuals who have registered for SEC events and responded to questionnaires, request forms and feedback forms.

Records may contain information relating to but not limited to name, title, affiliation, mailing address, telephone number, cell phone number, fax number, e-mail address, business affiliation, other contact and related supporting information provided to the Commission by individuals or derived from other sources covered by this system of records and not currently covered under an existing SORN.

15 U.S.C. 77a et seq., 78a et seq., 80a-1 et seq., and 80b-1 et seq.

1. To track and process complaints/inquiries/requests/comments and communications from members of the public, including industry representatives, counsel, and others.

2. To handle subscription requests for informational literature, reports, and other SEC materials, via individual, mass, and targeted mailing in the furtherance of SEC activities.

3. To process registration to SEC-related activities and events.

2. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether federal, state, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto.

3. Records in this system may, in the discretion of the Commission's staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry.

4. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.

5. Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official, designated functions.

6. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.

7. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

Storage:

Records may be retrieved by any of the following: E-mail address, name, or an assigned file number for the purpose of responding to the requestor. Information may additionally be retrieved by other personal identifiers.

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.

For SEC Headquarters:

U. S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Components: Office of the Chairman and Commissioners, Division of Corporation Finance, Division of Trading and Markets, Division of Investment Management, Division of Enforcement, Office of the General Counsel, Office of the Chief Accountant, Office of Economic Analysis, Office of Compliance Inspections and Examinations, Office of International Affairs, Office of Investor Education and Advocacy, Office of Information Technology, Office of the Executive Director, Office of Human Resources, Office of Financial Management, Office of Administrative Services, Office of Risk Assessment, Office of the Inspector General, Office of Legislative and Intergovernmental Affairs, Office of Public Affairs, Office of the Secretary, Office of Equal Employment Opportunity, and Office of Administrative Law Judges.

For Regional Offices:

New York Regional Office, Regional Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022; Boston Regional Office, Regional Director, 33 Arch Street, 23rd Floor, Boston, MA 02110-1424; Philadelphia Regional Office, Regional Director, The Mellon Independence Center, 701 Market Street, Suite 2000, Philadelphia, PA 19106-1532; Miami Regional Office, Regional Director, 801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901, Atlanta Regional Office, Regional Director, 3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232; Chicago Regional Office, Regional Director, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908; Denver Regional Office, Regional Director, 1801 California Street, Suite 1500, Denver, CO 80202-2656; Fort Worth Regional Office, Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882; Salt Lake Regional Office, Regional Director, 15 West South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573; Los Angeles Regional Office, Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648; San Francisco Regional Office, Regional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716.

See Record Access Procedures above.

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

None.

-57 International Program Oversight Database (International--POD).

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

Foreign and domestic contacts for Enforcement workload/Commission and foreign requests; foreign and domestic contacts for policy requests; Foreign officials trained in SEC Headquarters; Chairmen, CEOs, and Presidents of foreign regulators and stock exchanges; SEC staff traveling overseas; and information on vendors providing support for SEC's technical assistance program and individuals entitled to USAID reimbursements.

Contact information of individuals related to Enforcement cases and policy requests. Contact information of international institute foreign officials trained in SEC Headquarters; Contact information for Chairmen, CEOs, and Presidents of foreign regulators and stock exchanges; SEC staff traveling overseas; and information on vendors providing support for SEC's technical assistance program and individuals entitled to USAID reimbursements.

Correspondence relevant to the matter, internal staff memoranda, Commission Minutes and Commission Orders, working papers of the staff and other documents and records relating to the matter, opening reports, progress reports and closing reports, miscellaneous records relating to cross-border investigations or litigation and other international enforcement and regulatory matters.

15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

Tracks data gathered by the Office of International Affairs with respect to processing (1) requests for enforcement cooperation with foreign regulators and law enforcement agencies; (2) international regulatory policy matters designed to protect investors, improve market efficiency, and eliminate opportunities for "regulatory arbitrage"; (3) technical assistance and international training programs for emerging securities markets; (4) directory of contacts for foreign regulators and stock exchanges; (5) SEC staff foreign travel; and (6) USAID Reimbursement.

2. To coordinate law enforcement activities between the SEC and other federal, state, local or foreign law enforcement agencies, securities self-regulatory organizations, and foreign securities authorities.

3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred to the appropriate agency, whether federal, state, or local, a foreign governmental authority or foreign securities authority, or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute or rule, regulation or order issued pursuant thereto.

4. In any proceeding where the federal securities laws are in issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.

5. To respond to inquiries from Members of Congress, the press and the public which relate to specific matters that the Commission has investigated and to matters under the Commission's jurisdiction.

6. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

Storage:

Records are maintained in electronic format and paper form. Electronic records are stored in computerized databases. Paper records are stored in locked file rooms or metal file cabinets.

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

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.

Deputy Director, Office of International Affairs, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1004.

See Record Access Procedures above.

Information contained in this system is obtained from enforcement requests related to an SEC investigation; international institute training programs; foreign regulators and stock exchanges; SEC travel records; and USAID reimbursable programs.

None.

-58 System for Enforcement Case Tracking and Routing (SECTR).

Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Files may also be maintained in the Commission's Regional Offices that conducted an investigation or litigation, or at a records management company under contract with the Commission. Closed investigatory files are stored at a federal records center.

Correspondence relevant to the matter, internal staff memoranda, Commission Orders, settlement offers, Wells submissions, sworn financial statements, affidavits, transcripts of testimony, copies of pleadings, documents and other evidence obtained in the course of the matter, computerized records, working papers of the staff, and other documents and records relating to the matter.

15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

The purpose of this system of records is to create and maintain an electronic database of enforcement matters reviewed and comments provided by staff of the Division of Trading and Markets to the Division of Enforcement; and to maintain a record of communications within the Division of Trading and Markets relating to the enforcement matters reviewed.

2. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies, and to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions.

3. In connection with their regulatory and enforcement responsibilities mandated by the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), or state or foreign laws regulating securities or other related matters, records may be disclosed to national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory law enforcement agencies of a foreign government, or foreign securities authority.

4. To any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.

5. Inclusion in reports published by the Commission pursuant to authority granted in the federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)).

6. To members of advisory committees that are created by the Commission or by Congress to render advice and recommendations to the Commission or to Congress, to be used solely in connection with their official designated functions.

7. To any person who is or has agreed to be subject to the Commission's Rules of Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the Commission of possible violations of federal securities laws (as defined in Section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission's enforcement or regulatory functions under the federal securities laws.

8. Disclosure may be made to a Congressional office from the record of an individual in response to an inquiry from the Congressional office made at the request of that individual.

9. To respond to inquiries from Members of Congress, the press and the public which relate to specific matters that the Commission has investigated and to matters under the Commission's jurisdiction.

10. To prepare and publish information relating to violations of the federal securities laws as provided in 15 U.S.C. 78c(a)(47).

11. To respond to subpoenas in any litigation or other proceeding.

12. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

Storage:

Records are maintained in electronic format, paper form and other media. Electronic records are stored in computerized databases. Paper and other media records are stored in locked file rooms or metal file cabinets.

The records can be retrieved by the case number or case name (as designated by the Division of Enforcement), or by the name of an involved party related to the investigation being conducted or the administrative proceeding or civil action filed.

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.

Assistant Director, Office of Enforcement Liaison and Institutional Trading, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-6628.

See Record Access Procedures above.

Information in these records is supplied by other offices within the Commission; correspondence relating to litigation; pleadings in administrative proceedings; and other documents, including evidence entered in such proceedings.

None.

-59 Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; and Office of Financial Responsibility Log.

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

Representatives of regulated entities and their counsel, members of the public, representatives of other governmental agencies or Congress, and others who submit inquiries, information, comments, or other forms of communication to the Commission's Division of Trading and Markets' Office of Interpretation and Guidance, Office of Broker-Dealer Finances, or Office of Financial Responsibility, respectively, or who address their communications to other Division or Commission staff or offices that make a referral to, or consult with, the Division of Trading and Markets' Office of Interpretation and Guidance, Office of Broker-Dealer Finances, or Office of Financial Responsibility, respectively, or related staff.

Both electronic and paper records in this system may include the name of the inquirer/requester/commenter/communicant or their representative, the name of the entity if available, the subject of the inquiry/request/comment or communication, the date of the inquiry/request/comment or communication, and the staff response provided or other disposition. Paper records may include, but are not limited to, letters of inquiry/request/comment or communications, responses, and related documentation.

15 U.S.C. 78a et seq. and 17 CFR 202.1 to 202.10.

The records are used by the staff to track and process inquiries/requests/comments and communications from members of the public, industry representatives, counsel, and others.

2. To respond to inquiries from the White House, Congressional committees or offices, the General Accountability Office, General Services Administration or the National Archives and Records Administration, or others charged with monitoring the work of the Commission or conducting records management inspections.

3. To provide information to other federal or state government agencies, or securities self-regulatory organizations which have direct jurisdiction over the subject matter of the inquiry/request/comment or communication.

4. As a data source for the production of summary statistics and analytical studies in support of the function for which the records are collected and maintained or for statistics relating to personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.

5. To coordinate with or assist in law enforcement and regulatory activities of the Commission and other federal, state, local, or foreign law enforcement or regulatory agencies, securities self-regulatory organizations, and foreign securities authorities.

6. To respond to a subpoena, court order, or request for discovery, in connection with any relevant litigation or proceeding where the federal securities laws are at issue or in which the Commission, or past or present members of its staff, is a party or otherwise involved in an official capacity.

7. To provide information to a federal, state, local, or foreign government or foreign securities authority, in response to its request, in connection with civil, criminal, or other enforcement information, the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

8. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission.

9. To interns, grantees, experts and contractors who have been engaged by the Commission to assist in the performance of a service related to this system of records and who need access to the records for the purpose of assisting the Commission in the efficient administration of its programs. Recipients of these records shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

Storage:

Records are maintained in electronic format, and paper form. Electronic records are stored in computerized databases. Paper records are stored in locked file rooms or file cabinets.

Records may be retrieved by any of the following: Individual name, receipt date, entity name if provided, telephone number or e-mail address if provided, the subject matter, or other indexed information.

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Computerized records are safeguarded through use of access codes and information technology security.

Deputy Associate Director, Office of Broker-Dealer Finances, and Senior Special Counsel, Office of Interpretation and Guidance, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-7561.

See Record Access Procedures above.

Information collected is received from individuals primarily through telephone calls, e-mails, facsimiles, or letters to the Division of Trading and Markets or other Commission offices.

None.

-60 Ethics Conduct Rules Files.

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

SEC Members and employees, past and present.

Information relating to the SEC's "Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission" ("Ethics Conduct Rules"), currently located at 17 CFR Part 200 Subpart M, including outside employment and activities, and covered securities transactions, securities holdings and securities accounts.

The Federal securities laws (15 U.S.C. 77s, 78w, 77sss, 80a-37 and 80b-11) and the regulations promulgated thereunder, including the Ethics Conduct Rules currently located at 17 CFR Part 200 Subpart M.

For use by authorized SEC Ethics Office personnel, designated by the Ethics Counsel, and from time to time certain other SEC personnel, designated by the Ethics Counsel in his or her discretion, in connection with their official functions related to administering and supervising compliance with the Commission's Ethics Conduct Rules.

1. To a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of a violation or potential violation of law or regulation;

2. To a court or party in a court or Federal administrative proceeding if the Government is a party or in order to comply with a judge-issued subpoena;

3. To a source when necessary to obtain information relevant to a conflict of interest or securities law investigation or decision;

4. To the National Archives and Records Administration or the General Services Administration in records management inspections;

5. To the Office of Management and Budget during legislative coordination on private relief legislation;

6. To the Department of Justice or in certain legal proceedings when the disclosing agency, and employee of the disclosing agency, or the United States is a party to litigation or has an interest in the litigation and the use of such records is deemed relevant and necessary to the litigation;

7. To reviewing officials in a new office, department or agency when an employee transfers from one position to another subject to the Ethics Conduct Rules;

8. To a Member of Congress or a congressional office in response to an inquiry made on behalf of an individual who is the subject of the record;

10. When (1) it is suspected or confirmed that the security or confidentiality of information in the system of records has been compromised; (2) the Commission has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Commission or another agency or entity) that rely upon the compromised information; and (3) the disclosure is made to such agencies, entities, and persons who are reasonably necessary to assist in connection with the Commission's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm; and

11. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act.

Storage:

Records are maintained in electronic and paper format. Electronic records are stored in computerized databases and/or on computer disc. Paper records and records on computer disc are stored in locked file rooms and/or metal file cabinets.

Records may be retrieved by the individual's name or other personal identifiers, as well as non-identifying information. Information regarding individuals may be obtained through the use of cross-reference methodology.

Records are safeguarded in a secured environment. Buildings where records are stored have security cameras and 24 hour security guard service. Access is limited to those personnel whose official duties require access. Paper records are maintained in limited access areas during duty hours and in locked file cabinets and/or locked offices or file rooms at all other times. Computerized records are safeguarded through use of access codes and information technology security.

These records will be maintained for 6 years or otherwise in accordance with records schedules of the Commission and as approved by the National Archives and Records Administration.

The Ethics Counsel and the Designated Agency Ethics Official, Office of the General Counsel, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1050.

All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.

Persons wishing to obtain information on the procedures for gaining access to or contesting the contents of these records may contact the FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5100.

See Record Access Procedures above.

Information is provided by current Members and employees of the Commission or their designees in accordance with the requirements of the SEC Ethics Conduct Rules.

None.