U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

About Privacy at the SEC

Privacy Compliance

The Securities and Exchange Commission (SEC) achieves privacy compliance by embedding privacy protections into SEC programs and activities. We protect personally identifiable information (PII) consistent with the principles of the Privacy Act of 1974, the E-Government Act of 2002, and the Federal Records Act. In addition, we use the Fair Information Practice Principles (FIPPs) to enhance privacy protections by assessing the nature and purpose for all PII collected to fulfill the SEC's mission. The FIPPs are listed below.

  • Transparency
  • Individual Participation
  • Purpose Specification
  • Minimization
  • Use Limitation
  • Data Quality and Integrity
  • Security
  • Accountability and Auditing

Information related to our privacy compliance materials is available below under Privacy Impact Assessments (PIA) and Systems of Records Notices (SORN).

Contact Information

Senior Agency Official for Privacy — Thomas Bayer
Acting Chief Privacy Officer — Todd Scharf
Sr. Privacy Analyst — Ronnette McDaniel
Attorney Adviser — Darwana Hall

Mail to:

Securities and Exchange Commission
Office of Information Technology
100 F Street, NE
Washington, DC 20549-2616
Attn: Privacy

Email: privacyhelp@sec.gov

Privacy Impact Assessments (PIA)

The E-Government Act of 2002 requires agencies to conduct a privacy impact assessment (PIA) when developing or procuring any information technology (IT) that collects, maintains, or disseminates personal information about members of the public, and generally make them available to the public. The SEC conducts PIAs on information systems and Adapted PIAs on third-party websites and applications, to evaluate privacy risks in accordance with the E-Government Act of 2002 and Office of Management and Budget policy.

Provided below is a list of current SEC PIAs that are available upon request. To obtain a PIA, please contact us via email at pia@sec.gov.

  • Administrative Law Judge (ALJ)
  • Automated Procurement System (APS)
  • Consolidated New Database and Operational Reports (CONDOR)
  • Corp Fin Interactive Guidance System (CIGS)
  • Data Analysis and Retrieval Tool (DART)
  • EasyLobby
  • eD2.0 Recommind Axcelerate
  • Electronic Bluesheets System
  • Electronic Data Gathering, Analysis and Retrieval (EDGAR)
  • Electronic Freedom of Information Act Processing System (FOIAXpress)
  • eXtensible Business Reporting Language Project (XBRL)
  • GovDelivery Email Subscription Management System
  • HUB System
  • iComplaints
  • International Program Oversight Database
  • Investment Advisor Registration Depository (IARD)
  • Investor Response Information System (IRIS)
  • LDRPS (Living Disaster Recovery Planning System) update
  • Litigation Support-Concordance (EDOCS)
  • MOMENTUM Financials
  • Name Relationship Search Index (NRSI)
  • Nexidia ESI Audio Searching Software
  • Office of Interpretation & Guidance Log (OIG Log)
  • Phoenix
  • Rule 19d-1 Tracking System (Rule 19d-1)
  • SRO Market Surveillance Referrals/SRO Investigation Referral System (SMSR/SIRS)
  • System for Enforcement Case Tracking & Routing (SECTR)
  • Testimony Tracking System (TTS)
  • Tips, Complaints and Referrals - Intake and Resolution (TCR-I&R)
  • Tips, Complaints and Referrals - Repository (TCR-R)
  • TRENDS (v.3)

System of Records Notices (SORN)

The Privacy Act of 1974 (5 U.S.C. 552a) requires each Federal agency to publish a notice in the Federal Register of each system of records that it maintains. A system of records is any grouping of information about an individual under the control of a Federal agency from which it retrieves information by the name, social security number, or some other personal identifier.

The SEC has established the following Privacy Act Systems of Records and published notices in the Federal Register.



Modified: 03/13/2013