U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

Securities and Exchange Commission

Major Information Systems

System Name System Description
19d-1 (Rule 19d-1 Tracking System) Repository of final disciplinary actions taken by SROs against members or persons associated with members. Rule 19d-1 of the Securities Exchange Act of 1934 require SROs to promptly notify the SEC of final disciplinary actions. SROs submit their 19d-1 filings electronically.
Acts Plus (Agency Correspondence Tracking System) Maintains and tracks investor correspondence, analysis, and disposition information for complaints and inquiries.
ALJ (Administrative Law Judges) Tracks administrative proceedings hearings and pre-hearings scheduled before an ALJ. This includes disposition and possible outcomes of each respondent.
APS (Automated Procurement System) A web-based, enterprise-level procurement and contract life cycle management system. It provides a streamlined end-to-end procurement cycle that integrates and tracks information from a single point of entry, from initiation of the requirement, through solicitation and award, contract administration, to closeout and document archive.
APTS (Administrative Proceedings Tracking System) Tracks Commission administrative proceedings, appeals of ALJ initial decisions, appeals of SRO disciplinary actions and orders.
BDRA (Broker-Dealer Risk Assessment) Automates the collection of Form 17-H filings from broker-dealers through a secured website and inputs the filings into a database used to facilitate filings' review.
BI (Background Investigation Case Tracking System) also known as "ePass" An automated background investigation case management system that streamlines the SEC investigative background and employee on-boarding process.
Blue Sheets Tracks Commission requests for, and receipt of, customer trading information ("Blue Sheet" data) from brokers and self-regulatory organizations (SROs).
BPPAS (Budget and Program Performance Analysis System ) An automated multifunctional budgeting, costing and performance management system.
CIGS (CorpFin Interpretive Guidance System) Records, assigns, processes, and tracks public requests handled by the Division of Corporate Finance.
CONDOR (Consolidated New Database and Operational Reports) Tracks data gathered by the Division of Trading and Markets as it monitors and inspects self-regulatory organizations (SROs) and Electronic Clearing Networks (ECNs) to ensure compliance with regulatory and legislative requirements.
CSC (Continuity Support Center) Allows all SEC offices to publish their business continuity related documents and also updates of emergency or essential teams for communication purposes during an emergency.
DART (Data Analysis and Reporting Tool) A data analysis tool used to help staff request trading data and analyze the information.
EAUA (External Application User Administration ) Used to request, create, and manage user accounts for external (non-SEC) users who access web applications on the SEC server. 
EDGAR (Electronic Data Gathering and Retrieval System) Online system for the receipt, acceptance, dissemination, and analysis of SEC-mandated filings. EDGAR is broken into components that facilitate Commission staff interaction with the system.
EFOIA (Electronic Freedom of Information Act) Tracks and processes Freedom of Information Act (FOIA) requests and requests for confidential treatment.
EMTS (Enforcement Memorandum Tracking System) Provides the ability to track memoranda created for Enforcement cases . A memorandum is written to obtain permission from the Commissioners to notify a person to take specific action known as a formal order.
GSS (General Support System) The SEC’s information technology infrastructure that includes hardware, software, information, data, applications, and communications.
HUB Provides case tracking, debt tracking, and workflow management for Division of Enforcement offices nationwide.
ITSM (Information Technology Service Management) Allows for the assignment of Information Technology (IT) Incident Records, Problem Records, Asset Information, Change/Release records.
LDRPS (Living Disaster Recovery Planning System) Serves as an automated disaster recovery (DR) planning tool to aid in the recovery and restoration of technical operations and services in the event of a significant system failure or external event that affects the day-to-day operations of the SEC.
Litigation Support (also known as Concordance) Reduces the complexity of Enforcement's paper work by collecting, managing, and maintaining an extensive repository of electronic images relating to case files, depositions, testimonies, proceedings, case notes, trial exhibits, and other evidentiary and court-related records. It allows users to search, select, find, annotate, and organize evidentiary images into folders or subfolders.
Momentum Serves as the Commission's financial accounting system; tracks the agency's budget, obligations, expenditures and balances.
Nexidia Audio Searching Software used to transfer audio recordings into a database and indexed.
NRSI (Name Relationship Search Index) Provides an index to names contained in various internal and external automated SEC information systems, including filings with the Division of Corporation Finance, and Division of Enforcement inquiries and investigations.
NSAR (Investment Company Semi-Annual Report) Group of applications that load NSAR data (filed semiannually by investment management companies) collected by EDGAR into the NSAR database.
OCA (Office of the Chief Accountant) Allows assignment, tracking, and reporting of issues processed within the Accounting Group of the Office of the Chief Accountant.
Phoenix Manages the entry of detailed information on disgorgements and penalties and other monetary sanctions for purposes of 21F(a)(4) of the Securities Exchange Act of 1934.
PTCS (Personal Trading Compliance System) Streamlines and simplifies the pre-clearance and transaction reporting process for SEC staff, protecting the agency and its employees from even the appearance of inappropriate securities transactions or holdings or conflicts of interest.
Release Log Provides Commission release numbers for public documents.
SECTR (System for Enforcement Case Tracking and Routing) Provides Division of Trading and Markets attorneys with a means to prepare and transmit to the Division of Enforcement comments about cases that have associated market regulation issues.
SMSR/SIRS (SRO Market Surveillance Referrals/SRO Investigation Referral System) The internal component of a system that allows receipt, tracking, and processing of electronic versions of referrals, advisories, and exchange openings from Self Regulatory Organizations (SROs).
SRTS/EFFS (SRO Rule Tracking System/Electronic Form Filing System) Records, routes, and tracks rule filings and amendments submitted by self-regulatory organizations (SROs).
TCR Repository (Tips, Complaints, and Referrals Repository) Contains all the Tips, Complaints, and Referrals that the SEC receives. The TCR Repository provides an input form that allows authenticated users the ability to submit and search records. It is capable of storing a wide range of artifacts such as documents, images, video, and audio that are received from the public.
TP-Track (Trading Practices Tracking) Enables the Office of Trading Practices within the Division of Trading and Markets (TM) to track correspondence or inquiries from the investment community.
TRENDS (Tracking Reporting Examination National Documentation System) Provides an electronic examination platform to manage National Examination Program processes of Office of Compliance Inspection and Examination (OCIE).
TTS (Testimony Tracking System) Provides users with the capability of requesting transcription services, receiving completed transcripts, authorizing payment for verified transcription services rendered, and maintaining historical transmittal information.


Modified: 04/23/2012