SYSTEM NAME AND NUMBER: 

SEC-26: Mailing, Contact and Other Lists

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION:

Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. Records are 

also maintained in the SEC Regional Offices. 

SYSTEM MANAGER(S):

U. S. Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. 

Components: Office of the Chairman and Commissioners, Division of Corporation 

Finance, Division of Trading and Markets, Division of Investment Management,

Division of Enforcement, Office of the General Counsel, Office of the Chief 

Accountant , Office of Economic Analysis, Office of Compliance Inspections and 

Examinations, Office of International Affairs, Office of Investor Education and 

Advocacy, Office of Information Technology, Office of the Executive Director, Office 

of Human Resources, Office of Financial Management, Office of Administrative 

Services, Office of Risk Assessment, Office of the Inspector General, Office of 

Legislative and Intergovernmental Affairs, Office of Public Affairs, Office of the 

Secretary, Office of Equal Employment Opportunity, and Office of Administrative Law 

Judges. 

For Regional Offices 

New York Regional Office, Regional Director, 3 World Financial Center, Suite 400, 

New York, NY 10281-1022; Boston Regional Office, Regional Director, 33 Arch 
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Street, 23rd Floor, Boston, MA 02110-1424; Philadelphia Regional Office, Regional 

Director, The Mellon Independence Center, 701 Market Street, Suite 2000, 

Philadelphia, PA 19106-1532; Miami Regional Office, Regional Director, 801 Brickell 

Avenue, Suite 1800, Miami, FL 33131-4901, Atlanta Regional Office, Regional 

Director, 3475 Lenox Road, NE, Suite 1000, Atlanta, GA 30326-1232; Chicago 

Regional Office, Regional Director, 175 West Jackson Boulevard, Suite 900, Chicago, 

IL 60604-2908; Denver Regional Office, Regional Director, 1801 California Street, 

Suite 1500, Denver, CO 80202-2656; Fort Worth Regional Office, Regional Director, 

Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882; 

Salt Lake Regional Office, Regional Director, 15 West South Temple Street, Suite 

1800, Salt Lake City, UT 84101-1573; Los Angeles Regional Office, Regional 

Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648; San 

Francisco Regional Office, Regional Director, 44 Montgomery Street, Suite 2600, San 

Francisco, CA 94104-4716. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77a et seq., 78a et seq., 80a-1 et seq., and 80b-1 et seq. 

PURPOSE(S) OF THE SYSTEM: 

1. To track and process complaints/inquiries/requests/comments and communications 

from members of the public, including industry representatives, counsel, and others. 

2. To handle subscription requests for informational literature, reports, and other SEC 

materials, via individual, mass, and targeted mailing in the furtherance of SEC 

activities. 
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3. To process registration, conduct surveys, and issue supplemental information for

SEC-related activities and events.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Records contain information related to individuals and employees who submit requests 

for information, subscriptions, inquiries, guidance, informal advice and other assistance 

to the SEC in any format, including but not limited to paper, telephone, and electronic 

submissions; SEC personnel assigned to handle such correspondence; individuals who 

have registered for SEC events and responded to questionnaires, request forms and 

feedback forms; and individuals who elect to participate in SEC surveys and studies. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may contain information relating to but not limited to name, title, affiliation, 

mailing address, telephone number, cell phone number, fax number, email address, 

business affiliation, other contact and related supporting information provided to the 

Commission by individuals or derived from other sources covered by this system of 

records and not currently covered under an existing SORN. 

RECORD SOURCE CATEGORIES: 

The information is supplied by the individual and/or company making the request. Data 

may also be added pertaining to the fulfillment of the request. Information may also be 

obtained from other SEC records systems. 

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, 

INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH 

USES: 

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the 
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Privacy Act, these records or information contained therein may specifically be 

disclosed outside the Commission as a routine use pursuant to 5 U.S.C. 552 a(b)(3) as 

follows: 

1. To appropriate agencies, entities, and persons when (1) the SEC suspects or has 

confirmed that there has been a breach of the system of records,· (2) the SEC has 

determined that as a result of the suspected or confirmed breach there is a risk of harm 

to individuals, the SEC (including its information systems, programs, and operations), 

the Federal Government, or national security; and (3) the disclosure made to such 

agencies, entities, and persons is reasonably necessary to assist in connection with the 

SEC’s efforts to respond to the suspected or confirmed breach or to prevent, minimize, 

or remedy such harm. 

2. To other federal, state, local, or foreign law enforcement agencies; securities selfregulatory organizations; and foreign financial regulatory authorities to assist in or 

coordinate regulatory or law enforcement activities with the SEC. 

3. To national securities exchanges and national securities associations that are 

registered with the SEC, the Municipal Securities Rulemaking Board; the Securities 

Investor Protection Corporation; the Public Company Accounting Oversight Board; the 

federal banking authorities, including, but not limited to, the Board of Governors of the 

Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit 

Insurance Corporation; state securities regulatory agencies or organizations; or 

regulatory authorities of a foreign government in connection with their regulatory or 

enforcement responsibilities. 

4. In any proceeding where the federal securities laws are in issue or in which the 
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Commission, or past or present members of its staff, is a party or otherwise involved in 

an official capacity. 

5. To a federal, state, local, tribal, foreign, or international agency in response to its 

request for information concerning the hiring or retention of an employee; the issuance 

of a security clearance; the reporting of an investigation of an employee; the letting of a 

contract; or the issuance of a license, grant, or other benefit by the requesting agency, 

to the extent that the information is relevant and necessary to the requesting agency's 

decision on the matter. 

6. To produce summary descriptive statistics and analytical studies, as a data source for 

management information, in support of the function for which the records are collected 

and maintained or for related personnel management functions or manpower studies; 

may also be used to respond to general requests for statistical information (without 

personal identification of individuals) under the Freedom of Information Act. 

7. To any persons during the course of any inquiry, examination, or investigation 

conducted by the SEC’s staff, or in connection with civil litigation, if the staff has 

reason to believe that the person to whom the record is disclosed may have further 

information about the matters related therein, and those matters appeared to be relevant 

at the time to the subject matter of the inquiry. 

8. To interns, grantees, experts, contractors, and others who have been engaged by the 

Commission to assist in the performance of a service related to this system of records 

and who need access to the records for the purpose of assisting the Commission in the 

efficient administration of its programs, including by performing clerical, stenographic, 

or data analysis functions, or by reproduction of records by electronic or other means. 
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Recipients of these records shall be required to comply with the requirements of the 

Privacy Act of 1974, as amended, 5 U.S.C. 552a. 

9. To members of advisory committees that are created by the Commission or by 

Congress to render advice and recommendations to the Commission or to Congress, to 

be used solely in connection with their official designated functions. 

10. To any person who is or has agreed to be subject to the Commission’s Rules of 

Conduct, 17 CFR 200.735-1 to 200.735-18, and who assists in the investigation by the 

Commission of possible violations of the federalsecurities laws (as such term is 

defined in section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C. 

78c(a)(47)), in the preparation or conduct of enforcement actions brought by the 

Commission for such violations, or otherwise in connection with the Commission’s 

enforcement or regulatory functions under the federal securities laws. 

11. To a Congressional office from the record of an individual in response to an inquiry 

from the Congressional office made at the request of that individual. 

12. To respond to subpoenas in any litigation or other proceeding. 

13. To another Federal agency or Federal entity, when the SEC determines that 

information from this system of records is reasonably necessary to assist the recipient 

agency or entity in (1) responding to a suspected or confirmed breach or (2) preventing, 

minimizing, or remedying the risk of harm to individuals, the recipient agency or entity 

(including its information systems, programs, and operations), the Federal Government, 

or national security, resulting from a suspected or confirmed breach.

14. In reports published by the Commission pursuant to authority granted in the federal 

securities laws (as such term is defined in section 3(a)(47) of the Securities Exchange 
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Act of 1934, 15 U.S.C. 78c(a)(47)), which authority shall include, but not be limited to, 

section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(a)).

15. To members of advisory committees that are created by the Commission or by 

Congress to render advice and recommendations to the Commission or to Congress, to be 

used solely in connection with their official designated functions. 

POLICIES AND PRACTICES FOR STORAGE OF RECORDS: 

Records are maintained in electronic and paper format. Electronic records are stored in 

computerized databases, magnetic disc, tape and/or digital media. Paper records and 

records on computer disc are stored in locked file rooms and/or file cabinets. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

Records may be retrieved by any of the following: email address, name, or an assigned 

file number for the purpose of responding to the requestor. Information may 

additionally be retrieved by other personal identifiers. 

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF 

RECORDS: 

These records will be maintained until they become inactive, at which time they will be 

retired or destroyed in accordance with the SEC’s records retention schedule, as 

approved by the National Archives and Records Administration. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: 

Access to SEC facilities, data centers, and information or information systems is 

limited to authorized personnel with official duties requiring access. SEC facilities are 

equipped with security cameras and 24-hour security guard service. The records are 

kept in limited access areas during duty hours and in locked file cabinets and/or locked 
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offices or file rooms at all other times. Computerized records are safeguarded in a 

secured environment. Security protocols meet the promulgating guidance as established 

by the National Institute of Standards and Technology (NIST) Security Standards from 

Access Control to Data Encryption and Security Assessment & Authorization (SA&A). 

Records are maintained in a secure, password-protected electronic system that will 

utilize commensurate safeguards that may include: firewalls, intrusion detection and 

prevention systems, and role-based access controls. Additional safeguards will vary by 

program. All records are protected from unauthorized access through appropriate 

administrative, operational, and technical safeguards. These safeguards include: 

restricting access to authorized personnel who have a “need to know”; using locks; and 

password protection identification features. Contractors and other recipients providing 

services to the Commission shall be required to maintain equivalent safeguards. 

RECORD ACCESS PROCEDURES: 

Persons wishing to obtain information on the procedures for gaining access to or 

contesting the contents of these records may contact the FOIA/PA Officer, Securities 

and Exchange Commission, 100 F Street, NE, Washington, DC 20549-2736 

CONTESTING RECORD PROCEDURES: 

See Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

All requests to determine whether this system of records contains a record pertaining to 

the requesting individual may be directed to the FOIA/PA Officer, Securities and 

Exchange Commission, 100 F Street, NE, Washington, DC 20549-5100.2736 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 
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None. 

HISTORY: 

This SORN was last published in full in the Federal Register at 74 FR 36281 (July 22, 

2009). Subsequent notices of revision can be found at the following citations: 

− 75 FR 9968 (April 13, 2010)