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System of Records Notices

July 9, 2018

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 system of records notice (SORN) describes the personal information that we receive, why we receive it, how we use it, and why and how we may share it.

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

  1. SEC-01 Division of Corporation Finance Records
    83 FR 6892 (February 15, 2018)
  2. SEC-02 Division of Investment Management Records
    83 FR 6892 (February 15, 2018)
  3. SEC-03 Division of Trading and Markets Records
    83 FR 6892 (February 15, 2018)
  4. SEC-04 Office of General Counsel Working Files
    83 FR 6892 (February 15, 2018)
  5. SEC-05 Municipal Advisor Records
    85 FR 85440 (January 27, 2021)
  6. SEC-06 Financial and Acquisition Management System
    85 FR 85440 (January 27, 2021)
  7. SEC-07 Payroll, Attendance, Retirement and Leave Records
    85 FR 85440 (January 27, 2021)
  8. SEC-08 Administrative Law Judge Case Tracking Records
    85 FR 85440 (January 27, 2021)
  9. SEC-09 Minutes Regarding Action Taken by the Committee
    85 FR 85440 (January 27, 2021)
  10. SEC-10 Personnel Management Employment and Staffing and Training Files
    83 FR 6892 (February 15, 2018)
  11. SEC-11 Freedom of Information and Privacy Act Requests
    85 FR 85440 (January 27, 2021)
  12. SEC-12 Office of the Chief Accountant Working Files
    85 FR 85440 (January 27, 2021)
  13. SEC-13 Administrative and Litigation Release System
    85 FR 85440 (January 27, 2021)
  14. SEC-14 Administrative Proceeding Files
    85 FR 85440 (January 27, 2021)
  15. SEC-15 Disciplinary and Adverse Actions, Employee Conduct, and Labor Relations Files
    85 FR 85440 (January 27, 2021)
  16. SEC-16 Child Care Subsidy Program
    85 FR 85440 (January 27, 2021)
  17. SEC-17 Enforcement Files
    85 FR 85440 (January 27, 2021)
  18. SEC-18 Office of Inspector General Working Files
    85 FR 85440 (January 27, 2021)
  19. SEC-19 Mass Transportation Subsidy Program
    85 FR 85440 (January 27, 2021)
  20. SEC-20 Facilities Access Badge System
    85 FR 85440 (January 27, 2021)
  21. SEC-21 Fitness Center Membership Payment and Fitness Records; SEC Employees Health and Fitness Program Records
    85 FR 85440 (January 27, 2021)
  22. SEC-22 Continuity Support Center
    85 FR 85440 (January 27, 2021)
  23. SEC-23 Visitor Badge and Employee Day Pass System
    85 FR 85440 (January 27, 2021)
  24. SEC-24 Photographic Files
    85 FR 85440 (January 27, 2021)
  25. SEC-25 Information Pertaining or Relevant to SEC Regulated Entities and Their Activities
    85 FR 85440 (January 27, 2021)
  26. SEC-26 Mailing, Contact and Other Lists
    85 FR 85440 (January 27, 2021)
  27. SEC-27 Office of International Affairs Records
    85 FR 85440 (January 27, 2021)
  28. SEC-28 Ethics Conduct Rules Files
    85 FR 85440 (January 27, 2021)
  29. SEC-29 Tips, Complaints, and Referrals Records
    85 FR 85440 (January 27, 2021)
  30. SEC-30 SEC Security in the Workplace Incident Records
    85 FR 85440 (January 27, 2021)
  31. SEC-31 Correspondence Response Systems
    85 FR 85440 (January 27, 2021)
  32. SEC-32 Backup Care Employee and Family Records
    85 FR 85440 (January 27, 2021)
  33. SEC-33 General Information Technology Records
    85 FR 85440 (January 27, 2021)
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