SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-20]
Privacy Act of 1974: Deletion, Modification, and Redesignation of
Privacy Act Systems of Records
AGENCY: Securities and Exchange Commission.
ACTION: Notification of deletion and modification of Privacy Act Systems
of Records and redesignation of all records systems for the Securities and
Exchange Commission.
SUMMARY: In accordance with the requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the Securities and Exchange Commission is
removing four records systems that are either duplicative of a government-
wide records system; not retrieved by name or personal identifier, and,
therefore, not a Privacy Act system; not implemented or in effect; or
obsolete. The Commission is also modifying forty-one systems that involve
updating the Commission's address as reflected in the system locations,
system manager(s) and address, retention and disposal, notification
procedures, and record access procedures, due to recent office moves.
Finally, the release would revise the Federal Register's biennial
compilation of Federal Agency Privacy Act System Notices by
redesignating/renumbering the Commission's records systems and by removing
Appendix A and replacing it with a Table of Contents.
EFFECTIVE DATE: [Insert date of publication in the Federal Register].
FOR FURTHER INFORMATION CONTACT: Hannah R. Hall, Privacy Act Officer,
Tel. (202) 942-4320, Office of the Executive Director, Freedom of
Information Act and Privacy Act Operations, Securities
and Exchange Commission, Operations Center, 6432 General Green Way, Mail
Stop O-5, Alexandria, VA 22312-2413.
SUPPLEMENTARY INFORMATION: In the course of reviewing its Privacy Act
systems of records notices, the Commission identified four systems of
records which are being removed: SEC-21, "Division of Corporate Regulation
Bankruptcy Act Records"; SEC-30, "Equal Employment Opportunity Complaints";
SEC-39, "Telephone Call Detail Records"; and SEC-57, "SECO Files." With
respect to SEC-21, the records in the system are not retrievable by name or
other personal identifier and, therefore, the system is not a Privacy Act
system of records. With respect to SEC-30, the records are maintained in
another system of records subject to a government-wide system notice
(EEOC/GOVT-1), published by the Equal Employment Opportunity Commission.
With respect to SEC-39, the Commission published a notice of its intent to
establish this system of records subject to any comments "which would
result in a contrary determination."
60 FR 48733 (Sept. 20, 1995). In response to comments received, the
Commission determined not to implement the system of records and,
therefore, withdraws its Privacy Act notice. With respect to SEC-57, the
Commission no longer places records in this system, which is now obsolete.
In addition, the Commission has deemed it necessary to
redesignate/renumber all remaining systems notices. Finally, the
Commission is replacing the Appendix A of the systems of records with a
Table of Contents, to provide a better guide to the
======END OF PAGE 2======
Commission's Privacy Act systems notices. For the purposes of complying
with the Privacy Act and OMB Circular A-130, these modifications are minor
changes and do not require an advance report to, and review by, the
Congress and the Office of Management and Budget.
* * * * *
The following systems of records are hereby removed from the Federal
Register because they are either: (1) duplicative of a government-wide
records system; (2) not retrieved by name or personal identifier and,
therefore, not a Privacy Act system of records; (3) not implemented or in
effect; or (4) obsolete.
SEC-21
System name: Division of Corporate Regulation Bankruptcy Act Records.
SEC-30
System name: Equal Employment Opportunity Complaints.
SEC-39
System name: Telephone Call Detail Records.
SEC-57
System name: SECO Files.
======END OF PAGE 3======
* * * * *
The following systems notices have been redesignated according to the
table below.
Privacy Act Systems Notices Numbers
OLD NO. NEW NO.
SEC-17 SEC-9
SEC-18 SEC-10
SEC-19 SEC-11
SEC-34 SEC-12
SEC-43 SEC-13
SEC-09 SEC-14
SEC-53 SEC-15
SEC-10 SEC-16
SEC-41 SEC-17
SEC-14 SEC-18
SEC-22 SEC-19
SEC-23 SEC-20
SEC-27 SEC-21
SEC-31 SEC-22
SEC-40 SEC-23
SEC-32 SEC-24
SEC-52 SEC-25
SEC-42 SEC-27
SEC-26 (Reserved)
SEC-44 SEC-28
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SEC-16 SEC-29
SEC-45 SEC-30
SEC-46 SEC-31
SEC-56 SEC-32
SEC-11 SEC-33
SEC-13 SEC-34
SEC-58 SEC-35
SEC-98 SEC-36
SEC-100 SEC-37
SEC-47 SEC-38
SEC-49 SEC-39
SEC-51 SEC-40
SEC-54 SEC-41
SEC-102 SEC-42
SEC-103 SEC-43
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* * * * *
A Table of Contents is added to read as follows:
Table of Contents: System Notices Names and Numbers
(1) Registration Statements Filed Pursuant to Provisions of the Securities
Act of 1933, Securities Exchange Act of 1934, Public Utility Holding
Company Act of 1935, and Investment Company Act of 1940.
(2) Applications for Registration/Exemption under the Securities Exchange
Act of 1934, Investment Advisers Act of 1940, and Investment Company
Act of 1940.
(3) Notification of Exemption from Registration under the Securities Act
of 1933.
(4) Beneficial Ownership, Acquisition, Tender Offer, and Solicitation
Records Filed under the Securities Exchange Act of 1934.
(5) Ownership Reports and Insider Trading Transaction Records Filed under
the Securities Exchange Act of 1934, Public Utility Holding Company
Act of 1935, and Investment Company Act of 1940.
(6) Periodic Reports Filed under the Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935, and
Investment Company Act of 1940 and Investment Advisers Act of 1940.
(7) Proposed Sale of Securities Records Filed under the Securities Act of
1933.
======END OF PAGE 6======
(8) Proxy Soliciting Material Filed under the Securities Exchange Act of
1934, Public Utility Holding Company Act of 1935, and Investment
Company Act of 1940.
(9) Correspondence Files Pertaining to Registered Broker-Dealers.
(10) Correspondence Files Pertaining to Registered Investment Advisers.
(11) Correspondence Files Pertaining to Registered Investment Companies.
(12) Hearings, Proceedings and Studies.
(13) No-action and Interpretative Letters.
(14) Administrative Audit System.
(15) Pay and Leave System.
(16) Administrative Law Judge Assignments and Dispositions of
Administrative Proceedings.
(17) Minutes Regarding Action Taken by the Commission.
(18) Applications for Relief From Disqualification Filed Under the
Securities Act of 1933 and the Commission's Rules of Practice.
(19) Division of Corporation Finance and Support Office Working Files.
(20) Division of Corporation Finance Index for Filings on Schedule 13D and
Filings under Regulations A and B.
(21) Division of Investment Management Correspondence and Memoranda Files.
(22) Executive/Congressional Personnel Referrals.
(23) Staff Time and Activity Tracking System (STATS).
======END OF PAGE 7======
(24) Freedom of Information Act Requests.
(25) Office of Public Affairs, Policy Evaluation and Research Records.
(26) (Reserved)
(27) Name-Relationship Search System (NRS).
(28) Office of the Chief Accountant Working Files.
(29) Agency Correspondence Tracking System (ACTS).
(30) Office of General Counsel Work Files.
(31) Office of General Counsel (Adjudication) Working Files.
(32) Rule 102(e) of the Commission's Rules of Practice - Appearance and
Practice Before the Commission.
(33) Administrative and Litigation Release System.
(34) Administrative Proceedings Records Cards.
(35) Securities Violations Records and Bulletin.
(36) Administrative Proceeding Files.
(37) Automated Personnel Management Information System.
(38) Personnel Management Code of Conduct and Employee Performance Files.
(39) Personnel Management Employment and Staffing Files.
(40) Office of Personnel Training Files.
(41) Personnel Management Security Files.
(42) Enforcement Files.
(43) Office of Inspector General Investigative Files.
[Note: Published at 55 FR 1744 (Jan. 18, 1990)]
======END OF PAGE 8======
* * * * *
The following systems of records notices, which have been redesignated
according to the previous table, are being revised to reflect changes
in the following: system locations, system managers and addresses,
notification procedures, and record access procedures.
SEC-1 through SEC-13
These systems are amended as follow:
1. System manager(s) and address: This section is revised to read:
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.
2. Notification procedure: This section is revised to read: 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.
3. Record access procedures: This section is revised to read: 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.
======END OF PAGE 9======
SEC-14 and SEC-15
These systems are amended as follow:
1. System location: This section is revised to read: Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop
O-3, Alexandria, VA 22312-2413.
2. System manager(s) and address: This section is revised to read:
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.
3. Notification procedure: This section is revised to read: 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.
4. Record access procedures: This section is revised to read: 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.
======END OF PAGE 10======
SEC-23
SEC-23 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, Office of the Executive Director, Securities and
Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
2. System manager(s) and address: This section is revised to read:
Chief Management Analyst, Office of the Executive Director, Securities and
Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549.
3. Notification procedure: This section is revised to read: 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.
4. Record access procedures: This section is revised to read: 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.
======END OF PAGE 11======
SEC-24
SEC-24 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Alexandria,
VA 22312-2413.
2. System manager(s) and address: This section is revised to read:
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
O-5, Alexandria, VA 22312-2413.
3. Notification procedure: This section is revised to read: 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.
4. Record access procedures: This section is revised to read: 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.
======END OF PAGE 12======
SEC-27
SEC-27 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop
O-4, Alexandria, VA 22312-2413.
2. System manager(s) and address: This section is revised to read:
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.
3. Notification procedure: This section is revised to read: 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.
4. Record access procedures: This section is revised to read: 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.
======END OF PAGE 13======
SEC-32
SEC-32 is amended as follows:
1. System name: This section is revised to read: Rule 102(e) of the
Commission's Rules of Practice - Appearance and Practice Before the
Commission-SEC.
2. Authority for maintenance of the system: Reference to
"17 CFR 201.2(e)" is revised to read: "17 CFR 201.102(e)".
3. Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: Reference to
"17 CFR 202.1 et seq." is revised to read: "17 CFR 201.100 et seq."
Reference to "17 CFR 202.785-1 et seq." is revised to read: "17 CFR
200.735-1 et seq."
4. System manager(s) and address: All references to Rule 2(e) are
removed and replaced with Rule 102(e).
5. Notification procedure: This section is revised to read: 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.
6. Record access procedures: This section is revised to read: 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,
======END OF PAGE 14======
Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA
22312-2413.
SEC-38, SEC-39, and SEC-41
These systems are amended as follow:
1. System location: This section is revised to read: Securities and
Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop
O-1, Alexandria, VA 22312-2413.
2. System manager(s) and address: This section is revised to read:
Associate Executive Director, Office of Administrative and Personnel
Management, Securities and Exchange Commission, Operations Center, 6432
General Green Way, Mail Stop O-1, Alexandria, VA 22312-2413.
3. Notification procedure: This section is revised to read: 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.
4. Record access procedures: This section is revised to read: 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.
SEC-33, SEC-35, and SEC-36
======END OF PAGE 15======
These systems are amended as follow:
1. System manager(s) and address: This section is revised to read:
Secretary, Office of the Secretary, Securities and Exchange Commission, 450
Fifth Street, NW, Washington, DC 20549.
2. Notification procedure: This section is revised to read: 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.
3. Record access procedures: This section is revised to read: 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.
======END OF PAGE 16======
SEC-16 through SEC-22, SEC-25, SEC-28, SEC-30, SEC-31, SEC-34,
SEC-37, SEC-42, and SEC-43
These systems are amended as follow:
1. Notification procedure: This section is revised to read: 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.
2. Record access procedures: This section is revised to read: 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.
* * * * *
Appendix A: Appendix A is removed.
By the Commission.
Jonathan G. Katz
Secretary
September 4, 1997
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