The U. S. Securities and Exchange Commission (SEC)

Privacy Act Statement for Submitting Tips, Complaints, and Referrals

This notice is given under the Privacy Act of 1974.  The information requested by the Securities and Exchange Commission’s (SEC) Tips, Complaints, and Referrals (TCR) program, including any related follow-up by SEC staff, is collected to further the SEC’s investigation of potential violations of the federal securities laws.  The authority for the collection of the information is the federal securities laws -- including the authorities specified in 15 U.S.C. 77a et seq., 78a et seq, 80a-1 et seq, 80b-1 et seq -- and E.O. 9397 (Nov. 22, 1943), as amended by E.O. 13478 (Nov. 18, 2008).  The information requested allows the SEC to evaluate your tip or complaint and, if appropriate, to take further action.  The SEC may use and share the information you provide as permitted by the Privacy Act of 1974, 5 U.S.C. 552a, and to investigate your tip or complaint.  Such uses may include sharing your information with other federal, state, local, or foreign law enforcement agencies, or with securities industry self-regulatory organizations consistent with the confidentiality requirements set forth in Section 21F of the Securities Exchange Act of 1934 (Exchange Act).  If you are submitting information pursuant to the SEC’s whistleblower award program pursuant to Section 21F of the Exchange Act, the information provided will be used in connection with our evaluation of your eligibility or other factors relevant to our determination of whether to pay an award to you.  Additional information about the permitted uses of the information can be found in System of Records Notice SEC-63, “Tips, Complaints, and Referrals (TCR) Records.”  Providing the requested information is voluntary; however, failure to provide the information may delay or make it more difficult for the SEC to investigate your tip or complaint.  If you are submitting this information pursuant to the SEC whistleblower award program and you do not execute the Whistleblower Declaration or, if you are submitting your tip or complaint anonymously, if you fail to identify the attorney representing you in this matter, you may be ineligible to receive a monetary award.

http://www.sec.gov/privacy-tcr.htm