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
Law Clerk — 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 (CCRC)
- 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.
- (SEC-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-2) Applications for Registration or Exemption under the Investment Company Act of 1940
- (SEC-3) Notification of Exemption from Registration under the Securities Act of 1933
- (SEC-4) Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934
- (SEC-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-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
- (SEC-7) Proposed Sale of Securities Records Filed under the Securities Act of 1933
- (SEC-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
- (SEC-9) Correspondence Files Pertaining to Registered Broker-Dealers
- (SEC-10) Correspondence Files Pertaining to Registered Investment Advisers
- (SEC-11) Correspondence Files Pertaining to Registered Investment Companies
- (SEC-12) Hearings, Proceedings and Studies
- (SEC-13) No-action and Interpretative Letters
- (SEC-14) Financial and Acquisition Management System
- (SEC-15) Payroll, Attendance, Retirement and Leave Records
- (SEC-16) Administrative Law Judge Assignments and Dispositions of Administrative Proceedings
- (SEC-17) Minutes Regarding Action Taken by the Commission
- (SEC-18) Applications for Relief From Disqualification Filed Under the Securities Act of 1933 and the Commission's Rules of Practice
- (SEC-19) Division of Corporation Finance and Support Office Working Files
- (SEC-20) Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B
- (SEC-21) Division of Investment Management Correspondence and Memoranda Files
- (SEC-22) Executive/Congressional Personnel Referrals
- (SEC-23) Staff Time and Activity Tracking System (STATS)
- (SEC-24) Freedom of Information and Privacy Act Requests
- (SEC-25) Office of Public Affairs, Policy Evaluation and Research Records
- (SEC-26) Confidential Treatment Request Imaging System
- (SEC-27) Name-Relationship Search System (NRS)
- (SEC-28) Office of the Chief Accountant Working Files
- (SEC-29) Agency Correspondence Tracking System (ACTS)
- (SEC-30) Office of General Counsel Work Files
- (SEC-31) Office of General Counsel (Adjudication) Working Files
- (SEC-32) Rule 102(e) of the Commission's Rules of Practice -- Appearance and Practice Before the Commission
- (SEC-33) Administrative and Litigation Release System
- (SEC-34) Administrative Proceedings Records Cards
- (SEC-35) Securities Violations Records and Bulletin
- (SEC-36) Administrative Proceeding Files
- (SEC-37) Automated Personnel Management Information System
- (SEC-38) Disciplinary and Adverse Actions, Employee Conduct, and Labor Relations Files
- (SEC-39) Personnel Management Employment and Staffing Files
- (SEC-40) Office of Personnel Training Files
- (SEC-41) Child Care Subsidy Program
- (SEC-42) Enforcement Files
- (SEC-43) Office of Inspector General Investigative Files
- (SEC-44) Ridesharing System
- (SEC-45) Public Transportation Subsidy Program
- (SEC-46) Identification Cards, Press Passes, and Proximity Access Control Cards
- (SEC-47) Disgorgement and Penalties Tracking System
- (SEC-48) Fitness Center Membership Payment and Fitness Records; SEC Employees Health and Fitness Program Records
- (SEC-49) Broker-Dealer Records
- (SEC-50) Investment Adviser Records
- (SEC-51) Emergency Contingency Plan System
- (SEC-52) Visitor Badge and Employee Day Pass System
- (SEC-53) Automated Emergency Notification System
- (SEC-54) Photographic Files
- (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)
- (SEC-58) System for Enforcement Case Tracking and Routing (SECTR)
- (SEC-59) Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility Log
- (SEC-60) Ethics Conduct Rules Files
- (SEC-61) Municipal Advisor Records
- (SEC-62) Correspondence Files Pertaining to Municipal Advisors; Municipal Advisor Logs
- (SEC-63) Tips, Complaints, and Referrals (TCR) Records
- (SEC-64) SEC Security in the Workplace Incident Records
- (SEC-65) Investor Response Information System (IRIS)
- (SEC-66) Backup Care Employee and Family Records
http://www.sec.gov/about/privacy/secprivacyoffice.htm
