85440 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

1See OMB Circular A–108, ‘‘Federal Agency 

Responsibilities for Review, Reporting, and 

Publication under the Privacy Act,’’ December 23, 

2016 (81 FR 94424). 

2 81 FR 94424 (December 23, 2016). 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. PA–55; File No. S7–20–20] 

Privacy Act of 1974; System of 

Records 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of revised system of 

records. 

SUMMARY: In accordance with the 

Privacy Act of 1974 and the Office of 

Management and Budget (OMB) 

Circular No. A–108, the Securities and 

Exchange Commission (Commission or 

SEC) proposes to revise 28 Privacy Act 

systems of records. The revisions are the 

result of a comprehensive review of SEC 

SORNs and conform to new 

requirements prescribed in OMB 

Circular No. A–108. This notice also 

includes a Table of Contents of the 

agency’s full inventory of Privacy Act 

Notices, which re-designates and 

renumbers the systems of records to 

provide a better guide to the system 

notices. 

DATES: The changes will become 

effective January 27, 2021 to permit 

public comment on the new and revised 

routine uses. The Commission will 

publish a new notice if the effective date 

is delayed to review comments or if 

changes are made based on comments 

received. To assure consideration, 

comments should be received on or 

before January 27, 2021. 

ADDRESSES: Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s internet 

comment form (http://www.sec.gov/ 

rules/other.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number S7– 

20–20 on the subject line. 

Paper Comments 

Send paper comments in triplicate to 

Vanessa A. Countryman, Secretary, U.S. 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 

20549–1090. All submissions should 

refer to S7–20–20. This file number 

should be included on the subject line 

if email is used. To help process and 

review your comments more efficiently, 

please use only one method. The 

Commission will post all comments on 

the Commission’s internet website 

(http://www.sec.gov/rules/other.shtml). 

Comments are also available for website 

viewing and printing in the 

Commission’s Public Reference Room, 

100 F Street NE, Washington, DC 20549, 

on official business days between the 

hours of 10 a.m. and 3 p.m. All 

comments received will be posted 

without change; we do not edit personal 

identifying information from 

submissions. You should submit only 

information that you wish to make 

publicly available. 

FOR FURTHER INFORMATION CONTACT: For 

general and privacy related questions 

please contact: Ronnette McDaniel, 

Privacy and Information Assurance 

Branch Chief, 202–551–7200 or 

privacyhelp@sec.gov. 

SUPPLEMENTARY INFORMATION: When an 

agency wishes to establish or 

significantly modify a system of records, 

it must notify in advance Congress and 

the Office of Management and Budget 

(‘‘OMB’’) in order to permit an 

evaluation of the probable or potential 

effects of the proposal on the privacy or 

other rights of individuals. Currently, 

the SEC has 37 Privacy Act SORNs in 

its inventory. As directed by OMB,1 and 

as part of the SEC’s continuous privacy 

monitoring program, the SEC 

periodically reviews these SORNs to 

confirm the accuracy of the information. 

The Office of Information Technology 

(‘‘OIT’’), Privacy and Information 

Assurance Branch (‘‘Privacy Office’’), in 

collaboration with the system of records 

system managers or their designee(s), 

reviewed SORNs managed by each 

division or office for needed updates. As 

a result of the review, revisions were 

made to SEC systems of records, as 

necessitated by changes in information 

handling practices within the SEC and 

in compliance with OMB Circular No. 

A–108, Federal Agency Responsibilities 

for Review, Reporting, and Publication 

under the Privacy Act.2 Routine uses 

were also evaluated to ensure that they 

were necessary and compatible with the 

purposes for which the information is 

collected. 

Accordingly, the Commission is 

proposing the following Table of 

Contents to provide a better guide to its 

inventory of systems of records, and the 

modified systems of records to read as 

follows: 

TABLE OF CONTENTS

[SEC Privacy Act Systems Notices] 

Old No. New No. System name 

SEC–68 ....... SEC–01 ....... SEC’s Division of Corporation Finance Records. 

SEC–69 ....... SEC–02 ....... SEC’s Division of Investment Management Records. 

SEC–70 ....... SEC–03 ....... SEC’s Division of Trading and Markets Records. 

SEC–31 ....... SEC–04 ....... Office of General Counsel Working Files. 

SEC–62 ....... SEC–05 ....... Office of Municipal Advisor Records. 

SEC–14 ....... SEC–06 ....... Financial and Acquisition Management System. 

SEC–15 ....... SEC–07 ....... Payroll, Attendance, Retirement and Leave Records. 

SEC–16 ....... SEC–08 ....... Administrative Law Judge Case Tracking Records. 

SEC–17 ....... SEC–09 ....... Minutes Regarding Action Taken by the Commission. 

SEC–39 ....... SEC–10 ....... Personnel Management Employment and Staffing/Training Files. 

SEC–24 ....... SEC–11 ....... Freedom of Information and Privacy Act Requests. 

SEC–28 ....... SEC–12 ....... Office of the Chief Accountant Working Files. 

SEC–33 ....... SEC–13 ....... Administrative and Litigation Release System. 

SEC–36 ....... SEC–14 ....... Administrative Proceeding Files. 

SEC–38 ....... SEC–15 ....... Disciplinary and Adverse Actions, Employee Conduct, and Labor Relations Files. 

SEC–41 ....... SEC–16 ....... Child Care Subsidy Program. 

SEC–42 ....... SEC–17 ....... Enforcement Files. 

SEC–43 ....... SEC–18 ....... Office of Inspector General Working Files. 

SEC–45 ....... SEC–19 ....... Mass Transportation Subsidy Program. 

SEC–46 ....... SEC–20 ....... Facilities Access Badge System. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85441 

TABLE OF CONTENTS—Continued 

[SEC Privacy Act Systems Notices] 

Old No. New No. System name 

SEC–48 ....... SEC–21 ....... Fitness Center Membership Payment and Fitness Records; SEC Employees Health and Fitness Program 

Records. 

SEC–51 ....... SEC–22 ....... Continuity Support Center. 

SEC–52 ....... SEC–23 ....... Visitor Badge and Employee Day Pass System. 

SEC–54 ....... SEC–24 ....... Photographic Files. 

SEC–55 ....... SEC–25 ....... Information Pertaining or Relevant to SEC Regulated Entities and Their Activities. 

SEC–56 ....... SEC–26 ....... Mailing, Contact and Other Lists. 

SEC–57 ....... SEC–27 ....... Office of International Affairs Records. 

SEC–60 ....... SEC–28 ....... Ethics Conduct Rules Files. 

SEC–63 ....... SEC–29 ....... Tips, Complaints, and Referrals Records. 

SEC–64 ....... SEC–30 ....... SEC Security in the Workplace Incident Records. 

SEC–65 ....... SEC–31 ....... Correspondence Response Systems. 

SEC–66 ....... SEC–32 ....... Backup Care Employee and Family Records. 

SEC–67 ....... SEC–33 ....... General Information Technology Records. 

SYSTEM NAME AND NUMBER: 

SEC–14: 

SEC Financial and Acquisition 

Management System. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

1. Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. Files may also 

be maintained in the Commission’s 

Regional Offices. 

2. Federal Aviation Administration, 

Mike Monroney Aeronautical Center, 

AMZ–740, 6500 S MacArthur Blvd., 

Headquarters Bldg. 1, Oklahoma City, 

OK 73169. 

SYSTEM MANAGER(S): 

Chief Financial Officer, Office of 

Financial Management, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–6041. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

31 U.S.C. 3501, et seq. and 31 U.S.C. 

7701(c). Where the employee 

identification number is the social 

security number, collection of this 

information is authorized by Executive 

Order 9397. 

PURPOSE(S) OF THE SYSTEM: 

Serves as the core financial system 

and integrates program, financial and 

budgetary information. Records are 

collected to ensure that all obligations 

and expenditures other than those in the 

pay and leave system addressed in SEC– 

15 are in conformance with laws, 

existing rules and regulations, and good 

business practice, and to maintain 

subsidiary records at the proper account 

and/or organizational level where 

responsibility for control of costs exists. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SEC employees, contractors, vendors, 

interns, customers and members of the 

public. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Employee personnel information: 

Limited to SEC employees, and includes 

name, address, Social Security number 

(SSN). Business-related information: 

Limited to contractors/vendors and 

customers, and includes name of the 

company/agency, point of contact, 

telephone number, mailing address, 

email address, contract number, CAGE 

code, vendor number (system unique 

identifier), DUNS number, and TIN, 

which could be a SSN in the case of 

individuals set up as sole proprietors. 

Financial information includes: 

Financial institution name, lockbox 

number, routing transit number, deposit 

account number, account type, debts 

(e.g., unpaid bills/invoices, 

overpayments, etc.), and remittance 

address. 

RECORD SOURCE CATEGORIES: 

The information maintained in 

Department of Transportation, (DOT)/ 

Enterprise Service Center (ESC): 

Purchase orders, vouchers, invoices, 

contracts, and electronic records; 

Department of Interior (DOI)/Federal 

Personnel Payroll System (FPPS): Travel 

applications, disgorgement information, 

or other paper records submitted by 

employees, vendors, and other sources, 

including claims filed by witnesses in 

SEC actions; Delphi-Prism: Fed 

Traveler, Department of the Interior 

(DOI) Payroll System, Bureau of Public 

Debt, and EDGAR Momentum. 

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 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. 552a(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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

5. 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 


jbell on DSKJLSW7X2PROD with NOTICES2
85442 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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. 

6. 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. 

7. 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. 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. 

8. 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. 

9. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

10. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

11. To the OMB in connection with 

the review of private relief legislation as 

set forth in OMB Circular A–19 at any 

stage of the legislative coordination and 

clearance process as set forth in that 

circular. 

12. To the Treasury, Government 

Accountability Office, or other 

appropriate agencies to provide 

appropriate audit documentation. 

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. 

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 a name 

of employee, social security number 

(SSN) for employees, SSN/Tax 

Identification Number (TIN) for vendors 

doing business with the SEC, Name for 

both employees and vendors, Vendor 

Number (system unique) for both 

employees and vendors, DUNS/DUNS + 

4. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 and 47885 (September 

11, 1997) 

—63 FR 11938 (March 11, 1998)77 FR 

16569 (March 21, 2012) 

SYSTEM NAME AND NUMBER: 

SEC–15: 

Payroll, Attendance, Retirement and 

Leave Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

1. Payroll files, retirement case files, 

time and attendance reports, and service 

history files: SEC, 100 F Street NE, 

Washington, DC 20549. 

2. Notices of personnel action and 

other pay-related records: Department of 

the Interior, National Business Center, 

Payroll Operations Division, Mail Stop 

D–2662, 7301 West Mansfield Avenue, 

Lakewood, CO 80235–2230; and 

3. Retired personnel files: National 

Archives and Records Administration, 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85443 

National Personnel Records Center 

(Civilian Personnel Records Center), 111 

Winnebago Street, St. Louis, MO 63118. 

SYSTEM MANAGER(S): 

Associate Executive Director, Office of 

Human Resources, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 302; 31 U.S.C. 3512. 

PURPOSE(S) OF THE SYSTEM: 

The primary uses of the records are 

for the Commission’s fiscal operations 

for payroll, time and attendance, leave, 

insurance, tax, retirement, 

qualifications, and benefits; to prepare 

related reports to other Federal agencies 

including the Department of Treasury 

and the Office of Personnel 

Management; and to locate SEC 

employees and determine such matters 

as their period of service, type of leave, 

qualifications, benefits, and pay. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Past and present employees, interns, 

fellows, volunteers and persons who 

work at the SEC under the 

Intergovernmental Personnel Act 

(employees). 

CATEGORIES OF RECORDS IN THE SYSTEM: 

These records include, but are not 

limited to: Employee name, address, 

phone number, Social Security number, 

organization code, pay rate, salary, 

grade, length of service, pay and leave 

records, source documents for posting 

time and leave attendance, and 

deductions for Medicare, Old Age, 

Survivors, and Disability Insurance 

(OASDI, also known as Social Security), 

bonds, Federal Employee Group Life 

Insurance (FEGLI), union dues, taxes, 

allotments, quarters, retirement, 

charities, Federal and commercial 

health benefits, Flexible Spending 

Account, Long Term Care Insurance, 

Thrift Savings Plan contributions, 

award, shift schedules, and pay 

differential, tax lien data, wage 

garnishments. 

The payroll, retirement and leave 

records described in this notice form a 

part of the information contained in the 

Department of the Interior’s integrated 

Federal Personnel and Payroll System 

(FPPS). Personnel records contained in 

the FPPS are covered under the 

government-wide system of records 

notice published by the Office of 

Personnel Management (OPM/GOVT–1) 

and Commission’s system of records 

notice, SEC–39, Personnel Management 

Employment and Staffing Files. 

RECORD SOURCE CATEGORIES: 

Records source is from individuals on 

whom the records are maintained, 

official personnel records of individuals 

on whom the records are maintained, 

time and attendance records, 

withholding certificates, third-party 

benefit providers, and other pay-related 

records prepared by the individual or 

the Office of Human Resources. 

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 Privacy Act, these records 

or information contained therein may 

specifically be disclosed as a routine use 

pursuant to 5 U.S.C. 552a(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 the National Business Center of 

the U.S. Department of the Interior. 

3. To any Federal, state, or local 

government compiling tax withholding, 

retirement contributions, or allotments 

to charities, labor unions, wage 

garnishments, and other authorized 

recipients. 

4. To any Federal governmental 

authority or its agents investigating (a) 

a violation or potential violation of a 

statute, rule, regulation, or order, or (b) 

an employee’s grievance or complaint. 

5. To any member of the public for 

employment verification at an 

employee’s written request. 

6. To any judgment creditor for the 

purpose of wage garnishment. 

7. To any arbitrator under a negotiated 

labor agreement. 

8. To the General Accountability 

Office, the Office of Management and 

Budget, and other Federal agencies to 

support payments of salaries and 

benefits to SEC employees. 

9. To the Office of Child Support 

Enforcement, Administration for 

Children and Families, Department of 

Health and Human Services, the Federal 

Parent Locator System and the Federal 

Tax Offset System to (a) locate 

individuals, (b) identify income sources, 

(c) establish paternity, (d) verify social 

security numbers or employment, (e) 

issue, modify, or enforce orders of 

support, or (f) administer the Federal 

Earned Income Tax Credit Program. 

10. To a Congressional office in 

response to an inquiry from that 

Congressional office made at the request 

of the individual to whom the record 

pertains. 

11. 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 utilized to respond 

to general requests for statistical 

information (without personal 

identification of individuals) under the 

Freedom of Information Act. 

12. 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 or 

stenographic functions, or by 

reproduction of records by electronic or 

other means. 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. 

13. When (a) it is suspected or 

confirmed that the security or 

confidentiality of information in the 

system of records has been 

compromised; (b) the Commission has 

determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (c) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

14. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

15. To another Federal agency or 

Federal entity, when the SEC 


jbell on DSKJLSW7X2PROD with NOTICES2
85444 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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. 

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 are stored in 

locked file rooms and/or file cabinets. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

These records may be retrieved by 

identifiers including, but not limited to, 

individual’s name, an employee’s name 

or social security number, birthday, and 

organizational code. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 should contact the FOIA/ 

Privacy Act Officer, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

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 

should be directed to the FOIA/PA 

Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41594 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—58 FR 64416 (December 7, 1993) 

—62 FR 47884 and 47885 (September 

11, 1997) 

—63 FR 11936 (March 11, 1998) 

—64 FR 69051 (December 9, 1999) 

—75 FR 17978 (April 8, 2010) 

SYSTEM NAME AND NUMBER: 

SEC–16: 

Administrative Law Judge Case 

Tracking Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Chief Administrative Law Judge, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 556; 15 U.S.C. 78d, 78d–1; 

Pub. L. No. 87–592, 76 Stat. 394 (1962); 

17 CFR 200.30–9, .200.30–10, .201.111. 

PURPOSE(S) OF THE SYSTEM: 

1. To track the status of each 

administrative proceeding pending in 

the Office of Administrative Law Judges 

(OALJ). 

2. To enable the Chief Administrative 

Law Judge in determining appropriate 

assignments. 

3. To aid in projecting budget 

requirements for OALJ. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SEC administrative law judges, 

individual respondents, and counsel of 

record. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records are maintained on every case 

pending in OALJ. The system also stores 

records on cases while they are pending 

appeal and even after they have been 

resolved by decision or settlement. The 

records identify each administrative 

proceeding, the respondent(s) against 

whom the case was brought, and the 

administrative law judge to whom the 

case was assigned. Record categories 

include case summary, Office of the 

Secretary’s service list, contact sheet, 

hearings, dispositions, events and 

mailings, and respondent’s answer. 

Records may include the names, 

addresses, email addresses, telephone 

numbers, and fax numbers of 

respondents and counsel. They also 

contain information on party filings and 

submissions, such as the date of the 

filing or submission and the subject 

matter (but not copies of the actual 

filings or submissions), statistical data 

relating to number of assignments, and 

the time involved in disposition of 

assignments. 

RECORD SOURCE CATEGORIES: 

Information is obtained from: Orders 

and decisions issued by the SEC, Chief 

Administrative Law Judge, or individual 

Administrative Law Judges; transcripts 

of prehearings, hearings, and oral 

arguments; party filings, submissions, 

and correspondence and 

communications received in connection 

with a proceeding. 

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 Privacy Act, these records 

or information contained therein may 

specifically be disclosed outside the 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85445 

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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 


jbell on DSKJLSW7X2PROD with NOTICES2
85446 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. 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. 

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: 

Information in the ALJ Case Tracking 

Records is retrieved by case name, case 

number, Administrative Proceeding 

Tracking System (APTS) status, ALJ 

status, ALJ case status type, date filed 

with ALJ, date filed with the Office of 

the Secretary, respondent’s name, 

assigned ALJ, hearing date, ALJ 

statutory authority, or whether a case 

was initiated by an order instituting 

proceedings. 

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 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41563 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—43 FR 36536 (August 17, 1978) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

By the Commission. 

SYSTEM NAME AND NUMBER: 

SEC–17: 

Minutes Regarding Action Taken by 

the Commission. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Secretary, Office of the Secretary, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 78a et seq. 

PURPOSE(S) OF THE SYSTEM: 

To record actions taken by the 

Commission and to distribute to senior 

supervisory personnel on the 

Commission’s staff for informational 

purposes. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who are the subject of 

official action taken by the SEC, 

including individuals who are named 

defendants or respondents in civil 

actions or administrative proceedings 

brought by the Commission. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records contain defendants’ or 

respondents’ names, and addresses and 

names of other related entities or 

individuals; present and voting SEC 

Commissioners’ and staff names; and 

dates. The records describe the matter 

presented, and any recommendations of 

the staff. 

RECORD SOURCE CATEGORIES: 

Records are compiled from meetings 

of the Commission and from seriatims 

circulated to the Commission. 

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 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: 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85447 

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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 


jbell on DSKJLSW7X2PROD with NOTICES2
85448 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. 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. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in Word on an Office of the 

Secretary restricted drive, 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: 

These records are indexed by date and 

can be retrieved by name from the Word 

file or from the paper copy. Older 

records can be retrieved from Records 

Management or from the National 

Archives and Records Administration. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

These records will be maintained inhouse as space permits, at which time 

they will be archived by Records 

Management and then retired or 

destroyed in accordance with the SEC’s 

records retention schedule, as approved 

by the National Archives and Records 

Administration. Minutes are 

accessioned to NARA after 15 years. 

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 

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 secure, passwordprotected electronic system that will 

utilize commensurate safeguards t 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41564 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

SYSTEM NAME AND NUMBER: 

SEC–24: 

Freedom of Information and Privacy 

Act Requests. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

Office of Freedom of Information Act 

(FOIA) Services, 100 F Street NE, 

Washington, DC 20549. Other offices 

involved in the processing of requests 

may also maintain copies of the requests 

and related internal administrative 

records. 

SYSTEM MANAGER(S): 

FOIA/PA Officer, Office of FOIA 

Services, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 552, and 552a; Executive 

Order 9397. 

PURPOSE(S) OF THE SYSTEM: 

The records are used by Commission 

staff to process FOIA and Privacy Act 

requests and appeals, and to prepare 

reports to the Department of Justice, the 

Office of Management and Budget, and 

other oversight entities on the 

Commission’s FOIA and PA activities. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records are maintained on persons 

requesting information from the 

Commission pursuant to provisions of 

the Freedom of Information Act; persons 

who are the subject of Freedom of 

Information Act requests; individuals 

who have submitted requests for 

information about themselves or on 

behalf of an individual under the 

provisions of the Privacy Act of 1974; 

and individuals filing an administrative 

appeal of a denial, in whole or part, of 

any such request. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records received, created or compiled 

in processing FOIA and PA requests or 

appeals, including internal memoranda, 

correspondence to or from other Federal 

agencies, correspondence and response 

letters, appeal of denials under the 

FOIA, request for amendment of records 

under the Privacy Act, appeal for 

denials under the Privacy Act, appeal 

determinations, and electronic tracking 

data. 

These records may contain personal 

information retrieved in response to a 

request including requesters’ and their 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85449 

attorneys’ or representatives’ names, 

addresses, email, telephone numbers, 

and FOIA and PA case numbers; office 

telephone numbers of SEC employees 

and contractors; Names, telephone 

numbers, and addresses of the submitter 

of the information requested; Unique 

case identifier; Social Security Number; 

or other identifier assigned to the 

request or appeal. 

RECORD SOURCE CATEGORIES: 

Persons requesting information from 

the Commission pursuant to the 

Freedom of Information Act and the 

Privacy Act; agency employees assigned 

to handle processing the requests; 

agency records searched and identified 

as responsive in the process of 

responding to such requests; other 

agencies or entities that have referred to 

SEC requests concerning SEC records, or 

that have consulted with SEC regarding 

handling of particular requests; and 

submitters or subjects of records or 

information that have provided 

assistance to SEC in making access or 

amendment determinations. 

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 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. 552a(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 self-regulatory 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 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 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. 

7. 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. 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. 

8. 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. 

9. To respond to subpoenas in any 

litigation or other proceeding. 

10. To a third party authorized in 

writing to receive such information by 

the individual about whom the 

information pertains. 

11. To another Federal agency to (a) 

permit a decision as to access, 

amendment or correction of records to 

be made in consultation with or by that 

agency, (b) verify the identity of an 

individual or the accuracy of 

information submitted by an individual 

who requested access to, amendment of, 

or correction of records, or (c) to process 

payment of fees associated with FOIA/ 

PA requests. 

12. To the Department of Justice (DOJ) 

in order to obtain that department’s 

advice on FOIA matters or regarding the 

agency’s FOIA disclosure obligations. 

13. To the Office of Management and 

Budget for the purpose of obtaining its 

advice on Privacy Act matters. 

14. To the public pursuant to the 

provisions of the FOIA, 5 U.S.C. 552. 

15. To the National Archives and 

Records Administration, Office of 

Government Information Services 

(OGIS), to the extent necessary to fulfill 

its responsibilities in 5 U.S.C. 552(h), to 

review administrative agency policies, 

procedures and compliance with the 

Freedom of Information Act (FOIA), and 

to facilitate OGIS’ offering of mediation 

services to resolve disputes between 

persons making FOIA requests and 

administrative agencies. 

16. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

17. 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. 

18. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

19. To a Congressional office from the 

record of an individual in response to 


jbell on DSKJLSW7X2PROD with NOTICES2
85450 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

an inquiry from the Congressional office 

made at the request of that individual. 

20. In connection with any litigation 

challenging or seeking to enjoin actions 

by the Commission under the Freedom 

of Information Act, as amended. 

21. 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. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases, and/ 

or on computer disc. Paper records and 

records on computer disc are stored in 

locked file rooms and/or file cabinets. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Electronic files and paper format 

records are indexed and retrieved by a 

unique case number assigned to the 

request. Records may also be retrieved 

by the requestor name and/or the 

subject of the request. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

These records are maintained in 

accordance with general records 

schedules of the National Archives and 

Records Administration, General 

Records Schedule 4.2 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—62 FR 47884 (September 11, 1997) 

—77 FR 65913 (October 31, 2012) 

—78 FR 41962 (July 12, 2013) 

SYSTEM NAME AND NUMBER: 

SEC–28: 

Office of the Chief Accountant 

Working Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Chief Accountant, Office of the Chief 

Accountant, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77a et seq., 78a et seq., 7201 

et seq., and 17 CFR 200.22. 

PURPOSE(S) OF THE SYSTEM: 

1. To assist the Office of the Chief 

Accountant in performing the functions 

assigned to it by the Commission 

including the formulation and 

application of accounting or auditing 

policies in the case of documents 

required to be filed with the 

Commission and the determination of 

appropriate recommendations to the 

Commission relating to the 

disqualification of accountants to 

appear and practice before the 

Commission. 

2. To respond to inquiries from 

Members of Congress, the press, and the 

public concerning accounting and 

auditing matters. 

3. To assist investigations of possible 

violations of the Federal securities laws. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Accountants and persons associated 

with accountants and accounting firms 

and persons associated with SEC 

registrants, including individuals that 

submit requests for consultation with 

the Office of the Chief Accountant and 

individuals involved with or subjects of 

SEC investigations; and SEC personnel 

assigned to work on relevant matters. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The records contain names, mailing 

addresses, telephone numbers, email 

addresses, and/or information 

pertaining to accounting and auditing 

practices, problems, issues, and 

opinions and information concerning 

the activities of individuals in 

connection with Commission 

enforcement actions or in proceedings 

pursuant to the Commission’s rules of 

practice. 

RECORD SOURCE CATEGORIES: 

The information contained in the 

system is derived from official SEC 

records, letters and inquiries from the 

public, SEC staff memoranda, which 

may include information derived from 

investigations, litigation, and other 

submissions, and professional auditing 

and accounting literature and 

information received from individuals 

including where practicable those to 

whom the records relate. 

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. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85451 

552a(b) of the 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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 


jbell on DSKJLSW7X2PROD with NOTICES2
85452 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 23. 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. 

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: 

Paper records are searchable by name, 

subject, firm, date, and/or internal file 

number. Electronic records are 

searchable through routine word 

searches to include searches by name, 

subject, firm and/or keyword. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(3). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

—79 FR 30661 (May 28, 2014) 

SYSTEM NAME AND NUMBER: 

SEC–33: 

Administrative and Litigation Release 

System. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Records in this system also may be 

maintained at the SEC Regional Offices. 

SYSTEM MANAGER(S): 

Secretary, Office of the Secretary, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 78a et seq. 

PURPOSE(S) OF THE SYSTEM: 

To allow SEC staff to maintain 

information regarding administrative, 

civil or criminal proceedings involving 

allegations of violations of the Federal 

securities laws or related statutes. 

CATEGORIES OF INDIVIDUALS AND ENTITIES

COVERED BY THE SYSTEM: 

Records are maintained on persons 

who have been named as respondents or 

defendants in administrative, civil or 

criminal proceedings involving findings 

or allegations of violations of the 

Federal securities laws or related 

statutes. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records contain respondents’ or 

defendants’ names, and addresses. 

Releases pertaining to administrative 

proceedings are limited essentially to an 

identification of the respondents, a brief 

reference to the general nature of the 

underlying charges, and when 

appropriate, an identification of the 

particular securities involved. Litigation 

releases pertain to litigation matters and 

court enforcement actions brought 

under the Federal securities laws. 

RECORD SOURCE CATEGORIES: 

Records are obtained from 

administrative and court pleadings, 

transcripts, documents, and orders; SEC 

personnel; other SEC files; 

communications to the SEC; evidence 

gathered in connection with any matter 

within the jurisdiction of the SEC and 

from individuals, including where 

practicable, those to whom the records 

relate. 

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. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85453 

552a(b) of the 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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, or who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 


jbell on DSKJLSW7X2PROD with NOTICES2
85454 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. In giving public notice of the 

institution and disposition of an 

administrative, civil, or criminal 

proceeding brought under the Federal 

securities laws or related statutes. 

25. 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. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored on a restricted Office of the 

Secretary drive and in a computerized 

database. Paper records are stored in 

locked file rooms and/or file cabinets. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records may be accessed by relevant 

name and file number. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

SYSTEM NAME AND NUMBER: 

SEC—36: 

Administrative Proceeding Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Secretary, Office of the Secretary, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77h(e), 77u, 78v, 78o(b), 

80a–40, and 80b–12; the Commission’s 

Rules of Practice, 17 CFR 201.100 

through 900 and the Commission’s 

Rules of Fair Fund and Disgorgement 

Plans, 17 CFR 201.1100 through 1106. 

PURPOSE(S) OF THE SYSTEM: 

The records in this system may be 

utilized in any proceeding where the 

Federal securities laws are in issue or in 

which the Commission or past or 

present members of its staff is a party or 

otherwise involved in an official 

capacity. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records are maintained on all 

individuals that are involved in 

administrative proceedings before the 

SEC, including, participants, witnesses, 

attorneys, SEC employees, contractors, 

interns, affiliates, and others working on 

behalf of the SEC. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may include the names and 

addresses of parties; participants; 

witnesses, attorneys, SEC employees 

and others working on behalf of the 

SEC. Additionally, records may include 

orders for proceedings, answers, 

motions, responses, orders, offers of 

settlement and other pleadings; 

transcripts of all hearings and 

documents introduced as evidence 

therein; other relevant documents and 

correspondence relating to proceedings. 

RECORD SOURCE CATEGORIES: 

These records are obtained from 

counsel involved in the administrative 

proceeding, internal Commission files, 

and from individuals including, where 

practicable, the individual as to whom 

the record pertains. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

1. To appropriate agencies, entities, 

and persons when (1) the SEC suspects 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85455 

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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. In matters involving public 

proceedings, records maybe made 

publicly available. 19. To prepare and 

publish information relating to 

violations of the Federal securities laws 

as provided in 15 U.S.C. 78c(a)(47)), as 

amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 


jbell on DSKJLSW7X2PROD with NOTICES2
85456 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. 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. 

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 are indexed by names of both 

parties cross-indexing to individual’s 

name is available through searchable 

databases. Additionally, records can be 

retrieved by matter number. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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. Records are required to be 

safeguarded in accordance with 

applicable SEC rules and policies. 

Computerized records are safeguarded 

in secured, encrypted 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 will be 

maintained in a secure, passwordprotected 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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—43 FR 36536 (August 17, 1978) 

—46 FR 63439 (December 31, 1981) 

—54 FR 24454 (June 7, 1989) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

—79 FR 69894 (November 24, 2014) 

SYSTEM NAME AND NUMBER: 

SEC–38: 

Disciplinary and Adverse Actions, 

Employee Conduct, and Labor Relations 

Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

Office of Human Resources100 F Street 

NE, Washington, DC 20549–3990. 

SYSTEM MANAGER(S): 

Associate Executive Director, Office of 

Human Resources, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–3990. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 1302 and 2951 and 17 CFR 

200.735–13 

PURPOSE(S) OF THE SYSTEM: 

Assigned staff uses records to verify 

employee and agency compliance with 

law, regulation, case decisions, agency 

policies, and the Collective Bargaining 

Agreement. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Present and former SEC employees. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The system of records includes 

information in the following categories 

of records: (a) Disciplinary and adverse 

action cases, regulatory appeal files, 

grievances and complaints relating to an 

employee, union issues (including 

collective bargaining documents and 

dues withholding forms), leave bank/ 

transfer date, and third party 

complaints; (b) Investigatory materials 

gathered in connection with the 

individual’s initial appointment to the 

agency as well as materials gathered in 

connection with investigations into 

allegations of employee misconduct. 

RECORD SOURCE CATEGORIES: 

Employees, managers, union officials. 

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 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 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85457 

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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

human resources law or regulations are 

in issue or in which the Commission, or 

past or present members of its staff, is 

a party or otherwise involved in an 

official capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

5. 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. 

6. 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. 

7. 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. 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. 

8. 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. 

9. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

10. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

11. 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. 

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 are indexed and retrieved by 

employee name or assigned ID. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—62 FR 47884 (September 11, 1997) 

—76 FR 30213 (May 24, 2011) 

SYSTEM NAME AND NUMBER: 

SEC–41: 

Child Care Subsidy Program 


jbell on DSKJLSW7X2PROD with NOTICES2
85458 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Childcare Subsidy Program 

Applications: FEEA–SEC Child Care 

Subsidy, 8441- W. Bowles Ave, suite 

200, Littleton, CO 80123–9501. 

Utilization reports and other related 

records: Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. 

SYSTEM MANAGER(S): 

General Counsel, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Title 15, United States Code, section 

77s, 77sss, 78d (b), 78w, 80a–37, and 

80b–11. 

PURPOSE(S) OF THE SYSTEM: 

To determine eligibility for, and the 

amount of, the child care tuition 

subsidy for lower income SEC 

employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Present and former SEC employees 

and their children and child care 

providers. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records contain (1) employee’s name, 

social security number, telephone 

numbers, address, grade, gross annual 

salary, gross family income that was 

reported on the latest Federal income 

tax return, and number of dependent 

children; (2) employee’s child’s name, 

date of birth, social security number, 

weekly tuition cost, amount of child 

care tuition subsidy from state or local 

government; and (3) employee’s child 

care provider’s name, address, 

telephone number, tax identification 

number, and license number. 

RECORD SOURCE CATEGORIES: 

Applications for child care subsidy 

and supporting records, which are 

voluntarily submitted by employees. 

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 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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

5. 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. 

6. 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. 

7. 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. 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. 

8. 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. 

9. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

10. To any Federal, state, or local 

government authority implementing 

child care subsidy programs or 

investigating a violation or potential 

violation of a statute, rule, regulation, or 

order. 

11. To the Office of Personnel 

Management to be used for evaluating 

the child care subsidy program. 

12. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

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. 

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: 

These records are retrievable by the 

employee’s name or social security 

number. 

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. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85459 

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 

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 20549–2465. 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(5). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—57 FR 14592 (April 21, 1992) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

—65 FR 49037 (August 10, 2000) 

—77 FR 65913 (October 31, 2012) 

SYSTEM NAME AND NUMBER: 

SEC–42: 

Enforcement Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Files may also be maintained in the 

Commission’s Regional Offices that 

conducted an investigation or litigation, 

or at a records management company 

under contract with the Commission. 

Closed investigatory files are stored at a 

Federal records center. 

SYSTEM MANAGER(S): 

Director, Division of Enforcement, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 

20549–0801; Records Officer, Office of 

Records Management Services, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549; 

New York Regional Office, Regional 

Director, 3 World Financial Center, 

Suite 400, New York, NY 10281–1022; 

Boston Regional Office, Regional 

Director, 33 Arch Street, 23rd Floor, 

Boston, MA 02110–1424; Philadelphia 

Regional Office, Regional Director, The 

Mellon Independence Center, 701 

Market Street, Philadelphia, PA 19106– 

1532; Miami Regional Office, Regional 

Director, 801 Brickell Ave., Suite 1800, 

Miami, FL 33131, Atlanta Regional 

Office, Regional Director, 3475 Lenox 

Road NE, Suite 1000, Atlanta, GA 

30326–1232; Chicago Regional Office, 

Regional Director, 175 W. Jackson 

Boulevard, Suite 900, Chicago, IL 60604; 

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; Salt Lake Regional Office, 

Regional Director, 15 W. South Temple 

Street, Suite 1800, Salt Lake City, UT 

84101; 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. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77s, 77t, 78u, 77uuu, 80a– 

41, and 80b–9.17 CFR 202.5. 

PURPOSE(S) OF THE SYSTEM: 

The records are maintained for 

purposes of the Commission’s 

investigations and actions to enforce the 

Federal securities laws. Additionally, 

the information in the system is used in 

conjunction with the collection of 

amounts ordered to be paid in 

enforcement actions, a function that is 

a necessary component of litigation. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records are maintained on persons 

who have been involved in Commission 

investigations or litigation, or in 

activities which violated or may have 

violated Federal, state or foreign laws 

relating to transactions in securities, the 

conduct of securities business or 

investment advisory activities, and 

banking or other financial activities. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records contain names and addresses 

of persons involved in Commission 

investigations or litigation. Also, 

correspondence relevant to the matter, 

internal staff memoranda, Commission 

minutes and Commission orders, copies 

of subpoenas issued in the course of the 

matter, affidavits, transcripts of 

testimony and exhibits thereto, copies of 

pleadings and exhibits in related private 

or governmental actions, documents and 

other evidence obtained in the course of 

the matter, computerized records, 

working papers of the staff and other 

documents and records relating to the 

matter, opening reports, progress reports 

and closing reports, and miscellaneous 

records relating to investigations or 

litigation. 

RECORD SOURCE CATEGORIES: 

Information in these records is 

supplied by: Individuals including, 

where practicable, those to whom the 

information relates; witnesses, banks, 

corporations, or other entities; selfregulatory organizations; the Postal 

Inspection Service, the Department of 

Justice, state securities commissions, 

other Federal, state, or local bodies and 


jbell on DSKJLSW7X2PROD with NOTICES2
85460 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

law enforcement agencies or foreign 

governmental authorities; public 

sources, i.e., libraries, newspapers, 

television, radio, court records, filings 

with Federal, state, and local bodies; 

filings made with the SEC pursuant to 

law; electronic information sources; 

other offices within the Commission; 

documents, litigation, transcripts of 

testimony, evidence introduced into 

court, orders entered by a court and 

correspondence relating to litigation; 

pleadings in administrative 

proceedings, transcripts of testimony, 

documents, including evidence entered 

in such proceedings, and miscellaneous 

other sources. 

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 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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities laws (as such term is defined 

in section 3(a)(47) of the Securities 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85461 

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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

23. 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. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

When the Commission seeks to collect 

a debt arising from a civil action or 

administrative proceeding, it may 

disclose the following information to a 

consumer reporting agency: (i) 

Information necessary to establish the 

identity of the debtor, including name, 

address and taxpayer identification 

number or social security number; (ii) 

the amount, status, and history of the 

debt; and (iii) the fact that the debt arose 

from a Commission action or proceeding 

to enforce the Federal securities laws. 

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

The records are retrieved by the name 

under which the investigation is 

conducted or administrative or judicial 

litigation is filed. Access to information 

about an individual may be obtained 

through the Commission’s NameRelationship Search Index system by the 

name of the individual. Information 

concerning an individual may also be 

obtained by reference to computer-based 

indices maintained by the Division of 

Enforcement. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(1). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 40 FR 39253 

(August 27, 1975). Subsequent notices 

of revision can be found at the following 

citations: 

—41 FR 5318 (February 5, 1976) 

—41 FR 11631 (March 19, 1976) 

—41 FR 41550 (September 22, 1976) 

—42 FR 36333 (July 14, 1977) 

—46 FR 63439 (December 31, 1981) 

—59 FR 27626 (May 27, 1994) 

—62 FR 47884 (September 11, 1997) 

—67 FR 48497 (July 24, 2002) 

—76 FR 30213 (May 24, 2011) 

SYSTEM NAME AND NUMBER: 

SEC–43: OFFICE OF INSPECTOR GENERAL

WORKING FILES. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Office of the Inspector General, 

Securities and Exchange Commission 

(SEC), 100 F Street NE, Washington, DC 

20549. Closed files may be stored at a 

Federal records center in accordance 

with the SEC’s records retention 

schedule. 


jbell on DSKJLSW7X2PROD with NOTICES2
85462 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

SYSTEM MANAGER(S): 

Inspector General, Office of Inspector 

General, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Inspector General Act of 1978, as 

amended, Pub. L. 95–452, 5 U.S.C. App. 

6; Dodd-Frank Wall Street Reform and 

Consumer Protection Act, Pub. L. 111– 

203, 15 U.S.C. 78d–4. 

PURPOSE(S) OF THE SYSTEM: 

The purpose of this system of records 

is to enable the OIG to effectively and 

efficiently conduct investigations, 

audits, and inquiries relating to the 

programs and operations of the SEC; to 

allow OIG staff to provide legal advice 

and assistance to the Inspector General 

with respect to OIG investigations, 

audits, inquiries, actions, and agency 

operations; to represent the OIG in 

judicial and administrative proceedings 

in which the OIG or its personnel are 

involved as a party or a witness; to 

manage, track and report on matters and 

caseloads handled by OIG staff; to 

respond to communications and 

correspondence, as authorized by the 

Inspector General Act of 1978, as 

amended and the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

This system of records contains 

records on individuals, including 

subjects, complainants, and witnesses, 

in connection with the SEC Office of 

Inspector General’s (OIG) investigations, 

audits, or inquiries relating to programs 

and operations of the SEC. This system 

of records also includes records on 

individuals who are involved in 

litigation or administrative proceedings 

with the OIG, OIG employees whose 

conduct or performance raises concern, 

and individuals who correspond with 

the OIG such as members of Congress 

and their staff, members of the public 

and SEC employees who make 

suggestions through the OIG Employee 

Suggestion Hotline. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records include: Case management 

systems that contain unique control 

numbers, descriptive information, and 

supporting documents for OIG matters; 

incoming complaints and complaint 

logs; preliminary inquiry files and 

indexes; correspondence; internal staff 

memoranda and legal analysis; copies of 

all subpoenas issued during 

investigations; subpoena logs; affidavits, 

declarations and statements from 

witnesses; transcripts of interviews 

conducted or testimony taken and 

accompanying exhibits; documents and 

records obtained during investigations, 

audits and administrative litigation; 

working papers of the staff; investigative 

plans, operation plans, status reports, 

reports of investigation, and closing 

memoranda; information and 

documents relating to grand jury 

proceedings; arrest and search warrant 

affidavits; information and documents 

relating to criminal, civil, and 

administrative actions; information and 

documents received from other law 

enforcement entities; personnel 

information for witnesses, subjects, and 

OIG staff; investigative peer review files; 

Congressional correspondence; SEC 

employee suggestions; and other 

internal and external communications. 

RECORD SOURCE CATEGORIES: 

Information in these records is 

supplied by: Individuals including, 

where practicable, those to whom the 

information relates; witnesses, 

corporations and other entities; records 

of individuals and of the SEC; records 

of other entities; Federal, foreign, state 

or local bodies and law enforcement 

agencies; documents and 

correspondence relating to litigation and 

administrative proceedings; public 

sources; and miscellaneous other 

sources. 

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 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 (a) it is suspected or 

confirmed that the security or 

confidentiality of information in the 

system of records has been 

compromised; (b) the OIG has 

determined that, as a result of the 

suspected or confirmed compromise, 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

SEC or OIG or another agency or entity) 

that rely upon the compromised 

information; and (c) the disclosure made 

to such agencies, entities, and persons is 

reasonably necessary to assist in 

connection with the SEC or OIG’s efforts 

to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. 

2. To another Federal agency or 

Federal entity, when the OIG 

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. 

3. Where there is an indication of a 

violation or a potential violation of law, 

whether civil, criminal or regulatory in 

nature, to the appropriate agency, 

whether Federal, foreign, state, or local, 

or to a securities self-regulatory 

organization, charged with enforcing or 

implementing the statute, or rule, 

regulation or order. 

4. To Federal, foreign, state, or local 

authorities in order to obtain 

information or records relevant to an 

OIG investigation or inquiry. 

5. To non-governmental parties where 

those parties may have information the 

OIG seeks to obtain in connection with 

an investigation or inquiry. 

6. To respond to subpoenas in any 

litigation or other proceeding. 

7. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

8. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

9. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

10. 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. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85463 

11. 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. 

12. To inform complainants, victims, 

and witnesses of the results of an 

investigation or inquiry. 

13. To any persons during the course 

of any inquiry, audit, 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. 

14. 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. 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. 

15. To qualified individuals or 

organizations in connection with the 

performance of a peer review or other 

study of the OIG’s audit or investigative 

functions. 

16. To a Federal agency responsible 

for considering debarment or 

suspension action if the record would 

be relevant to such action. 

17. To the Department of Justice for 

the purpose of obtaining its advice on 

Freedom of Information Act matters. 

18. To a Congressional office in 

response to an inquiry from the 

Congressional office. 

19. To the Office of Government 

Ethics (OGE) to comply with agency 

reporting requirements established by 

OGE in 5 CFR 2638, subpart F. 

20. To a Federal, state, local, foreign 

or administrative body, or before an 

arbitrator, when the SEC is a party to or 

has an interest in litigation or other legal 

proceedings, including to legal counsel 

representing the SEC or SEC employees, 

or other actual or potential parties, in 

connection with litigation, discovery or 

settlement discussions. 

21. To an authorized investigator, 

administrative judge, or complaints 

examiner appointed by the Equal 

Employment Opportunity Commission 

when requested in connection with the 

investigation of a complaint of 

discrimination filed against the SEC 

under 29 CFR part 1614. 

22. To the Merit Systems Protection 

Board or Office of the Special Counsel 

for the purpose of litigation, including 

administrative proceedings, appeals, 

special studies, investigations of alleged 

or possible prohibited personnel 

practices, and such other functions as 

may be authorized by law. 

23. To the news media and the public 

when there exists a legitimate public 

interest (e.g., to provide information on 

events in the criminal process, such as 

an indictment). 

24. To the Council of the Inspectors 

General on Integrity and Efficiency, 

another Federal Office of Inspector 

General, or other Federal law 

enforcement office in connection with 

an allegation of wrongdoing by the 

Inspector General or OIG staff members. 

25. To a contractor when there has 

been an SEC or OIG investigation or 

inquiry into the conduct or performance 

of the contractor’s employees. 

26. In reports published by the OIG 

pursuant to its authority granted in the 

Inspector General Act of 1978, as 

amended, Public Law 95–452, 5 U.S.C. 

App. 6, and Dodd-Frank Wall Street 

Reform and Consumer Protection Act, 

Public Law 111–203, 15 U.S.C § 78d-4. 

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 or are 

maintained in secure off-site storage. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

The records may be retrieved by the 

name of the SEC employee, 

complainant, subject, witness, victim or 

member of the public; the OIG staff 

name for the audit, investigation or 

inquiry; or other indexed information. 

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 

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. 

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. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

Pursuant to 5 U.S.C. 552a(j)(2) and 17 

CFR 200.313(a), this system of records is 

exempt from the provisions of the 

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

except subsections (b), (c)(1) and (2), 

(e)(4)(A) through (F), (e)(6), (7), (9), (10), 

and (11), and (i), and 17 CFR 200.303, 

200.403, 200.306, 200.307, 200.308, 


jbell on DSKJLSW7X2PROD with NOTICES2
85464 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

200.309, and 200.310, insofar as the 

system contains information pertaining 

to criminal law enforcement 

investigations. 

Pursuant to 5 U.S.C. 552a(k)(2) and 17 

CFR 200.313(b), this system of records 

is exempt from 5 U.S.C. 552a(c)(3), (d), 

(e)(1), (e)(4)(G), (H), and (I), and (f), and 

17 CFR 200.303, 200.304, and 200.306, 

insofar as the system contains 

investigatory materials compiled for law 

enforcement purposes. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 79 FR 30661 

(May 28, 2014). 

SYSTEM NAME AND NUMBER: 

SEC–45: 

Mass Transportation Subsidy 

Program. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission 

(SEC), Operations Center, Office of 

Human Resources, 100 F Street NE, 

Washington, DC 20549. Records are also 

maintained at SEC Regional Offices. 

U.S. Department of Transportation, 1200 

New Jersey Avenue SE, Washington, DC 

20590. 

SYSTEM MANAGER(S): 

Assistant Director, Office of Human 

Resources, 100 F Street NE, Washington, 

DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Executive Order: 12191; Pub. L. 101– 

509, Section 629; Pub. L. 103–172; 26 

CFR 1.132–6; and 42 U.S.C. 13201 et 

seq. 

PURPOSE(S) OF THE SYSTEM: 

To encourage employees to use public 

transportation as a means to conserve 

petroleum, reduce traffic congestion, 

and improve air quality. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SEC employees who participate in the 

Mass Transportation Subsidy Program. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records include the employee’s name, 

address, office telephone number, mode 

of transportation, transportation costs, 

date of entry into transit program, last 

four digits of social security number, 

organization, SmartTrip number, and 

date of annual certification. 

RECORD SOURCE CATEGORIES: 

Records include SEC Form 2445, 

Application to Transit Subsidy Program, 

SEC Form 2344, Return/Termination of 

Public Transportation Subsidy; 

Employee Certification for Public 

Transportation Subsidy; Receipt for 

Public Transportation Subsidy; SEC 

Form 2318, Disbursing Agents, Voucher; 

and SEC Form 2407, Authorization for 

Third-Party Receipt of Public 

Transportation Subsidy. 

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 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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

5. 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. 

6. 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. 

7. 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. 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. 

8. 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. 

9. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

10. To the appropriate personnel for 

periodic review of revalidation for 

subsidy. 

11. To the Office of Inspector General 

for investigating allegations of abuse. 

12. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

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. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained and stored in 

an electronic format. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85465 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records are retrieved by name, last 

four digits of SSN or assigned division 

within the SEC. 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 63 FR 37423 

(July 10, 1998). Subsequent notices of 

revision can be found at the following 

citations: 

SYSTEM NAME AND NUMBER: 

SEC–46: 

Facilities Access Badge System. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

SYSTEM MANAGER(S): 

Securities and Exchange Commission, 

Office of Security Services, Office of 

Support Operations, 100 F Street NE, 

Washington, DC 20549–1627. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301 and Executive Order 

13231 of October 16, 2001, on Critical 

Infrastructure Protection ; the Federal 

Property and Administrative Services 

Act of 1949, 40 U.S.C. 101 et seq.; 

Homeland Security Presidential 

Directive 12 (HSPD–12), Policy for a 

Common Identification Standard for 

Federal Employees and Contractors, 

August 27, 2004. 

PURPOSE(S) OF THE SYSTEM: 

Records are for physical and 

operational security to identify 

authorized personnel permitted 

unescorted access to Commission 

facilities. It is also used to issue Special 

Credentials used as a physical and 

operational security measure to identify 

SEC employees in the performance of 

their duties. Records are for physical 

and operational security and can only 

be used for purposes compatible with 

the purpose for which it was collected 

as cited in the Privacy Act of 1974, 5 

U.S.C. 552(a)7. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Commission employees, members of 

the press, contractors, volunteers, 

tenants, interns, consultants, and 

employees of other Federal agencies 

who require access to Commission 

facilities for extended periods of time. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records include the Government 

Personal Identity Verification (PIV) 

Card. The SEC system of records may 

contain the following: Name, date of 

birth, sex, social security number, 

citizenship, weight, height, color of hair 

and eyes, photograph, employee record 

number, card chip number, authorized 

access rights, date of issuance, date of 

return, date background investigation 

completed, Headquarters and Field 

Office Access Card (name, date of birth, 

weight, height, color of hair and eyes, 

photograph, employee record number, 

card chip number, authorized access 

rights, date of issuance, and date of 

expiration); Special Credential 

(signature of authorizing official, 

photograph, control number, date of 

issuance and date of expiration). 

RECORD SOURCE CATEGORIES: 

The issuing official or person issued 

the badge. 

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 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 

tribal law enforcement agencies; to 

assist in or coordinate law enforcement 

activities with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. 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 


jbell on DSKJLSW7X2PROD with NOTICES2
85466 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

assisting the Commission in the efficient 

administration of its programs, 

including by performing clerical, 

technical, or data analysis functions, or 

by reproduction of records by electronic 

or other means. 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. 

5. 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. 

6. To any person who is or has agreed 

to be subject to the Commission’s Rules 

of Conduct, 17 CFR 200.735–1 through 

200.735–18, and who assists in the 

investigation by the Commission of 

possible violations of the Federal 

securities 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. 

7. 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. 

8. To respond to subpoenas in any 

litigation or other proceeding. 

9. To the Office of Inspector General 

or Office of Human Resources for 

investigative purposes. 

10. 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. 

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: 

Electronic records may be retrieved by 

the employee’s name and identification 

number. 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 63 FR 37423 

(July 10, 1998). Subsequent notices of 

revision can be found at the following 

citations: 

—72 FR 2036 (January 17, 2007) 

SYSTEM NAME AND NUMBER: 

SEC–48: 

Fitness Center Membership, Payment, 

and Fitness Records SEC Employee’s 

Health and Fitness Program Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Aquila Fitness Consulting Systems, 

Ltd, 429 Lenox Avenue, Suite 4W21, 

Miami Beach, FL 33139–6532. 

SYSTEM MANAGER(S): 

Associate Executive Director, Office of 

Human Resources, Securities and 

Exchange Commission, Operations 

Center, 6432 General Green Way, Mail 

Stop 0–1, Alexandria, VA 22312–2413. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 7901, et seq. 

PURPOSE(S) OF THE SYSTEM: 

The system enables SEC Fitness 

Center staff to track Fitness Center 

membership, fee payments, and the 

physical fitness of members. The 

primary use of these records is to allow 

the SEC to provide a variety of health 

and fitness resources to its employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SEC employees who voluntarily sign 

up for membership benefits for SEC 

fitness programs. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may contain employee name, 

division, office address, email address, 

home address, home and cell telephone 

numbers, date of birth, health prescreening questions, membership 

number, fee and payment information 

(including electronic debit information), 

and fitness progress charts. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85467 

RECORD SOURCE CATEGORIES: 

All information is provided by Fitness 

Center members. 

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 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. 552a(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 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. 

3. 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. 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. 

4. 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. 

5. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

6. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

7. 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. 

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 are retrieved by the 

individual’s name or membership 

number. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 64 FR 19840 

(April 22, 1999). Subsequent notices of 

revision can be found at the following 

citations: 

—77 FR 16569 (March 21, 2012) 

SYSTEM NAME AND NUMBER: 

SEC–51: 

Continuity Support Center (CSC). 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Executive Director, Office of the 

Executive Director, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549. 


jbell on DSKJLSW7X2PROD with NOTICES2
85468 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301, Executive Order 12656 

(Nov. 18, 1988), Assignment of 

Emergency Preparedness 

Responsibilities; National Security 

Presidential Directive 51/Homeland 

Security Presidential Directive 20; 

National Continuity Policy, May 9, 

2007. 

PURPOSE(S) OF THE SYSTEM: 

1. To maintain emergency contact 

information for current members and 

employees of the Commission for use in 

developing and maintaining emergency 

contingency operations plans, such as a 

formal continuity of operations (COOP) 

plan, for the Commission. 

2. To provide alert and notification, 

determine team and task assignments, 

develop and maintain an emergency 

contact system for general emergency 

preparedness programs and specific 

situations (including threat alerts, 

weather related emergencies or other 

critical situations). 

3. To activate COOP for Commission 

wide response to threat alerts issued by 

the Department of Homeland Security 

(DHS). 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Members and employees of the 

Commission and contractors. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Name, job title, organizational code 

number, work and home addresses, 

work and personal electronic mail 

addresses, work, home, and cellular 

telephone numbers; pager numbers and 

Blackberry PIN numbers. 

RECORD SOURCE CATEGORIES: 

Records are obtained from the 

position control system and from the 

individual. 

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 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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

5. 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. 

6. 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. 

7. 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. 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. 

8. 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. 

9. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

10. To any Federal government 

authority for the purpose of 

coordinating and reviewing agency 

continuity of operations plans or 

emergency contingency plans developed 

for responding to Department of 

Homeland Security threat alerts. 

11. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

12. 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. 

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: 

These records are retrieved by 

individual’s names, or by the categories 

listed above under ‘‘Categories of 

Records in the System.’’ 

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 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85469 

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 

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 be directed to the FOIA/PA 

Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 68 FR 23168 

(April 30, 2003). 

SYSTEM NAME AND NUMBER: 

SEC–52: 

Visitor Badge and Employee Day Pass 

System. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

Security Branch, Office of 

Administrative Services, 100 F Street 

NE, Washington, DC 20549–1627. 

SYSTEM MANAGER(S): 

Chief of Security Branch, Office of 

Administrative Services, Security 

Branch, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–1627. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301 and Executive Order 

13231 of October 16, 2001 on Critical 

Infrastructure Protection; Homeland 

Security Presidential Directive 12 

(HSPD–12), Policy for a Common 

Identification Standard for Federal 

Employees and Contractors, August 27, 

2004. 

PURPOSE(S) OF THE SYSTEM: 

This system is primarily designed as 

a physical and operational security 

system to control access to Commission 

facilities by visitors and representatives 

from other Federal agencies. It is also 

used to issue temporary badges for 

Commission staff or contractors who are 

not in possession of their badge and are 

authorized to enter SEC facilities. 

Records are for physical and operational 

security and can only be used for 

purposes compatible with the purpose 

for which it was collected as cited in the 

Privacy Act of 1974, 5 U.S.C. 552(a)7. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Authorized visitors and Commission 

employees who access Commission 

facilities are covered by this system. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may include the name, 

photograph, country represented the 

number of the printed barcode issued 

for each badge, visitor category, the 

location, date, and time of entry to the 

secure Commission facility. Records 

may include the following information 

from scanned driver’s licenses and 

passports: First and last name. Further 

information contained within the 

system will be the name of the person 

being visited and the reason for the 

visit. The system may maintain check in 

and check out times, current status of 

visitor, and a barcode assigned by the 

system software for each visitor record. 

RECORD SOURCE CATEGORIES: 

Information is provided by the visitor 

seeking access to Commission facilities 

to meet with Commission employees or 

contractors, by Commission employees 

who pre-register visitors, and by 

Commission employees or contractors 

with badges, who on that occasion do 

not have their access badge and seek 

access to SEC facilities. 

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 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 

tribal law enforcement agencies; to 

assist in or coordinate law enforcement 

activities with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. 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. 

5. 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, 

technical, or data analysis functions, or 

by reproduction of records by electronic 

or other means. 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. 

6. To members of advisory 

committees that are created by the 


jbell on DSKJLSW7X2PROD with NOTICES2
85470 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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. 

7. To any person who is or has agreed 

to be subject to the Commission’s Rules 

of Conduct, 17 CFR 200.735–1 through 

200.735–18, and who assists in the 

investigation by the Commission of 

possible violations of the Federal 

securities 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. 

8. 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. 

9. To respond to subpoenas in any 

litigation or other proceeding. 

10. To the Office of Inspector General 

or the Office of Human Resources for 

investigative purposes. 

11. Records may be used by staff of 

the Commission’s Security Branch, the 

Office of Human Resources, and the 

Office of the Inspector General in 

routine reports or investigations to 

review access to SEC facilities and to 

assess compliance with established 

security procedures and policies. 

12. 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. 

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 the 

Individual’s name, person visited, date 

of visit and/or barcode number (as 

printed in the form of a barcode on the 

badge). 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 71 FR 3907 

(January 24, 2006). 

SYSTEM NAME AND NUMBER: 

SEC–54: 

Photographic Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Branch Chief, Library Services, 

Securities and Exchange Commission, 

Library, 100 F Street NE, Room 1550, 

Washington, DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301, Departmental 

Regulations. 

PURPOSE(S) OF THE SYSTEM: 

1. To digitize SEC photographic files 

in support of the preservation of these 

materials. 

2. To be used for reproduction by 

Commission staff organizing such 

events as awards ceremonies, farewell 

ceremonies and receptions, Commission 

anniversary ceremonies and receptions, 

and Commission training and 

educational programs. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Commission staff, visitors from other 

Federal agencies and members of the 

public. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The records in the system include 

photographic prints, negatives, and 

slides. Records may also include digital 

photographs, as well as digitized images 

of photographic prints, negatives, and 

slides. Indexing data, including such 

data elements as date, event, and 

personal name and title, will be created 

for these materials. 

RECORD SOURCE CATEGORIES: 

Photographic files are provided to the 

Library for inclusion in the Library’s 

collection on an ongoing basis. Donors 

include Commission employees who 

have photographed an event or 

individuals donating their photographic 

collections to the Library for the 

purposes of preservation and access. 

Indexing information is derived from 

information recorded on photographs, 

or from Commission staff or other 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85471 

individuals who have knowledge of the 

event and individuals photographed. 

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 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 self-regulatory 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 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. 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 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. For distribution and presentation 

for news, public relations and 

community affairs purposes. 

14. In support of research activities 

conducted by staff of the Commission 

and other Federal agencies, as well as 

members of the public. 

15. 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. 

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 such 

information as date of event, name of 

event, and/or name(s) of individual(s), 

where such information is available. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 


jbell on DSKJLSW7X2PROD with NOTICES2
85472 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 71 FR 63810 

(October 31, 2006). 

SYSTEM NAME AND NUMBER: 

SEC–55: 

Information Pertaining or Relevant to 

SEC Registrants and Their Activities 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Records also are maintained in the SEC 

Regional Offices. 

SYSTEM MANAGER(S): 

Chief Information Officer, Office of 

Information Technology, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 78a et seq., 80a–1 et seq., 

and 80b–1 et seq. 

PURPOSE(S) OF THE SYSTEM: 

1. For use by authorized SEC 

personnel in connection with their 

official functions including, but not 

limited to, conducting examinations for 

compliance with Federal securities 

laws, investigations into possible 

violations of the Federal securities laws, 

and other matters relating to the SEC’s 

regulatory and law enforcement 

functions. 

2. To maintain continuity within the 

SEC as to each Regulated Entity and to 

provide SEC staff with the background 

and results of earlier examinations of 

Regulated Entities, as well as an insight 

into current industry practices or 

possible regulatory compliance issues. 

3. To conduct lawful relational 

searches or analysis or filtering of data 

in matters relating to the SEC’s 

examination, regulatory or law 

enforcement functions. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records concern individuals 

associated with entities or persons that 

are regulated by the SEC to include 

broker-dealers, investment advisers, 

investment companies, self-regulatory 

organizations, clearing agencies, 

nationally recognized statistical rating 

organizations, transfer agents, municipal 

securities dealers, municipal advisors, 

security-based swap dealers, securitybased swap data repositories, major 

security-based swap participants, 

security-based swap execution facilities, 

and funding portals (individually, a 

‘‘Regulated Entity;’’ collectively, 

‘‘Regulated Entities’’). Records may also 

concern persons, directly or indirectly, 

with whom Regulated Entities or their 

affiliates have client relations or 

business arrangements. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may contain Regulated 

Entities’ and their associated persons’ 

names, addresses, telephone numbers 

and email addresses. Additionally, there 

may be information relating to the 

business activities and transactions of 

Regulated Entities and their associated 

persons, as well as their compliance 

with provisions of the Federal securities 

laws and with other applicable rules. 

RECORD SOURCE CATEGORIES: 

Record sources include filings made 

by Regulated Entities; information 

obtained through examinations or 

investigations of Regulated Entities and 

their activities; information contained in 

SEC correspondence with Regulated 

Entities; information received from 

other Federal, state, local, foreign or 

other regulatory organizations or law 

enforcement agencies; complaint 

information received by the SEC via 

letters, telephone calls, emails or any 

other form of communication; and data 

obtained from third-party sources. 

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 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. 552a(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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct. 

5. In any proceeding where the 

Federal securities laws are in issue or in 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85473 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

23. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

24. 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. 

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 

digital media are stored in locked file 

rooms and/or file cabinets. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Information is indexed by name of the 

Regulated Entity or by certain SEC 

identification numbers. Information 

regarding individuals may be obtained 

through the use of cross-reference 

methodology or some form of personal 

identifier. Access for inquiry purposes 

is via a computer terminal. 


jbell on DSKJLSW7X2PROD with NOTICES2
85474 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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. Records are required to be 

safeguarded in accordance with 

applicable SEC rules and policies. 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

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 35853 (June 23, 2010) 

—79 FR 69894 (November 24, 2014) 

SYSTEM NAME AND NUMBER: 

SEC–56: 

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 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. 

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. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85475 

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 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 self-regulatory 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 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. 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 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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 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. 


jbell on DSKJLSW7X2PROD with NOTICES2
85476 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

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) 

SYSTEM NAME AND NUMBER: 

SEC–57: OFFICE OF INTERNATIONAL AFFAIRS

RECORDS. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Office of International Affairs, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Deputy Director, Office of 

International Affairs, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–1004. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77s, 77t, 78u, 77uuu, 80a– 

41, 80b–9, and 17 CFR 202.5. 

PURPOSE(S) OF THE SYSTEM: 

Tracks data gathered by the Office of 

International Affairs with respect to 

processing (1) requests for enforcement 

cooperation with foreign regulators and 

law enforcement agencies; (2) 

international regulatory policy matters 

designed to protect investors, improve 

market efficiency, and eliminate 

opportunities for ‘‘regulatory arbitrage’’; 

(3) technical assistance and 

international training programs for 

emerging securities markets; (4) 

directory of contacts for foreign 

regulators and stock exchanges; (5) SEC 

staff foreign travel; and (6) USAID 

Reimbursement. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Foreign and domestic contacts for 

Enforcement workload/Commission and 

foreign requests; foreign and domestic 

contacts for policy requests; Foreign 

officials trained in SEC Headquarters; 

Chairmen, CEOs, and Presidents of 

foreign regulators and stock exchanges; 

SEC staff traveling overseas; and 

information on vendors providing 

support for SEC’s technical assistance 

program and individuals entitled to 

USAID reimbursements. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Contact information of individuals 

related to Enforcement cases and policy 

requests. Contact information of 

international institute foreign officials 

trained in SEC Headquarters; Contact 

information for Chairmen, CEOs, and 

Presidents of foreign regulators and 

stock exchanges; SEC staff traveling 

overseas; and information on vendors 

providing support for SEC’s technical 

assistance program and individuals 

entitled to USAID reimbursements. 

Correspondence relevant to the matter, 

internal staff memoranda, Commission 

Minutes and Commission Orders, 

working papers of the staff and other 

documents and records relating to the 

matter, opening reports, progress reports 

and closing reports, miscellaneous 

records relating to cross-border 

investigations or litigation and other 

international enforcement and 

regulatory matters. 

RECORD SOURCE CATEGORIES: 

Information contained in this system 

is obtained from enforcement requests 

related to an SEC investigation; 

international institute training 

programs; foreign regulators and stock 

exchanges; SEC travel records; and 

USAID reimbursable programs. 

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 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 self-regulatory 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 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85477 

regulatory authorities of a foreign 

government in connection with their 

regulatory or enforcement 

responsibilities. 

4. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. 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. 

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. 


jbell on DSKJLSW7X2PROD with NOTICES2
85478 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Data are retrievable by the 

individual’s name or other identifier, 

such as case number, name, as well as 

non-identifying information. 

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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 74 FR 36281 

(July 22, 2009). 

SYSTEM NAME AND NUMBER: 

SEC–60: 

Ethics Conduct Rules Files. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

The Ethics Counsel and the 

Designated Agency Ethics Official, 

Office of the General Counsel, Securities 

and Exchange Commission, 100 F Street 

NE, Washington, DC 20549–1050. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

The Federal securities laws (15 U.S.C. 

77s, 78w, 77sss, 80a–37 and 80b–11) 

and the regulations promulgated 

thereunder, including the Ethics 

Conduct Rules currently located at 17 

CFR part 200 Subpart M. 

PURPOSE(S) OF THE SYSTEM: 

For use by authorized SEC Ethics 

Office personnel, designated by the 

Ethics Counsel, and from time to time 

certain other SEC personnel, designated 

by the Ethics Counsel in his or her 

discretion, in connection with their 

official functions related to 

administering and supervising 

compliance with the Commission’s 

Ethics Conduct Rules. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

SEC Members and employees, past 

and present. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Information relating to the SEC’s 

‘‘Regulation Concerning Conduct of 

Members and Employees and Former 

Members and Employees of the 

Commission’’ (‘‘Ethics Conduct Rules’’), 

currently located at 17 CFR part 200 

Subpart M, including outside 

employment and activities, and covered 

securities transactions, securities 

holdings and securities accounts. 

RECORD SOURCE CATEGORIES: 

Information is provided by current 

Members and employees of the 

Commission or their designees in 

accordance with the requirements of the 

SEC Ethics Conduct Rules. 

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 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. 552a(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 a Federal, State, or local law 

enforcement agency if the disclosing 

agency becomes aware of a violation or 

potential violation of law or regulation. 

3. To a court or party in a court or 

Federal administrative proceeding if the 

Government is a party or in order to 

comply with a judge-issued subpoena. 

4. To a source when necessary to 

obtain information relevant to a conflict 

of interest or securities law investigation 

or decision. 

5. To the National Archives and 

Records Administration or the General 

Services Administration in records 

management inspections. 

6. To the Office of Management and 

Budget during legislative coordination 

on private relief legislation. 

7. To the Department of Justice or in 

certain legal proceedings when the 

disclosing agency, and employee of the 

disclosing agency, or the United States 

is a party to litigation or has an interest 

in the litigation and the use of such 

records is deemed relevant and 

necessary to the litigation. 

8. To reviewing officials in a new 

office, department or agency when an 

employee transfers from one position to 

another subject to the Ethics Conduct 

Rules. 

9. To a Member of Congress or a 

congressional office in response to an 

inquiry made on behalf of an individual 

who is the subject of the record. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85479 

10. To interns, grantees, experts and 

contractors 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. 

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; and 

11. As a data source for management 

information for production of summary 

descriptive statistics and analytical 

studies in support of the function for 

which the records are collected and 

maintained; may also be utilized to 

respond to general requests for 

statistical information (without personal 

identification of individuals) under the 

Freedom of Information Act. 

12. 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. 

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 the 

individual’s name or other personal 

identifiers, as well as non-identifying 

information. Information regarding 

individuals may be obtained through 

the use of cross-reference methodology. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

These records will be maintained for 

six years or otherwise in accordance 

with records schedules of the 

Commission and 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 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

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/Privacy 

Act Officer, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 74 FR 46254 

(September 8, 2009). 

SYSTEM NAME AND NUMBER: 

SEC–62: 

Office of Municipal Advisor Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission 

(‘‘Commission’’ or ‘‘SEC’’) 100 F Street 

NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Assistant Director, Division of 

Trading and Markets, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–7561. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Dodd-Frank Wall Street Reform and 

Consumer Protection Act, Section 

975(a), Pub. L. 111–203 (2010); 15 

U.S.C. 78a et seq.; 80b–1 et. seq.; and 17 

CFR 202.1 through 202.10. 

PURPOSE(S) OF THE SYSTEM: 

The records are used by SEC staff to 

track, process, respond to, and maintain 

documentation of correspondence, 

inquiries/requests/comments, 

communications, and related 

information from or regarding members 

of the public, including industry 

representatives, counsel, and others, 

relating to Municipal Advisors; to 

document Commission or SEC staff 

responses on a formal or informal basis. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Persons applying for registration or 

exemption from registration as a 

Municipal Advisor, persons currently or 

formerly registered with the 

Commission as a Municipal Advisor, 

and their partners, officers, directors, 

associated persons, control persons, 

control affiliates, employees, owners, 

principal shareholders, other related 

persons, and their representatives or 

counsel; and representatives of 

regulated entities and their counsel, 

members of the public, representatives 

of other governmental agencies or 

Congress, and others who submit 

correspondence, inquiries, information, 

comments, or other forms of 

communication to the Commission or 

SEC staff relating to Municipal 

Advisors. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Both electronic and paper records in 

this system may include information 

concerning an individual’s activities 

and transactions as or pertaining to, or 

relationships with, a Municipal 

Advisor; the name of the correspondent 

or inquirer/requester/commenter/ 

communicant or their representative; 

the name of the entity; the subject of the 

correspondence, inquiry/request/ 

comment or communication; the date of 

the correspondence, inquiry/request/ 

comment or communication; and the 

Commission or SEC staff response 

provided, or other disposition, on a 


jbell on DSKJLSW7X2PROD with NOTICES2
85480 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

formal or informal basis. Paper records 

may include, but are not limited to, 

letters, facsimiles, imaged documents, 

other written forms of communication, 

and related documentation. 

RECORD SOURCE CATEGORIES: 

Information collected is received from 

individuals primarily through 

correspondence or other written or 

verbal forms of communication, 

including without limitation telephone 

calls, emails and other forms of 

electronic communication, letters, or 

facsimiles to the Commission and SEC 

staff. 

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 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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85481 

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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. To any governmental agency, 

governmental or private collection 

agent, consumer reporting agency or 

commercial reporting agency, 

governmental or private employer of a 

debtor, or any other person, for 

collection, including collection by 

administrative offset, Federal salary 

offset, tax refund offset, or 

administrative wage garnishment, of 

amounts owed as a result of 

Commission civil or administrative 

proceedings. 

24. 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. 

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: Name, receipt date, entity 

name, registration number, telephone/ 

cellular/facsimile number, email or 

internet address, subject matter, or other 

indexed information. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 75 FR 51854 

(August 23, 2010). 

SYSTEM NAME AND NUMBER: 

SEC–63: 

Tips, Complaints, and Referrals (TCR) 

Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Files may also be maintained in the 

Commission’s Regional Offices that 

conducted an investigation or litigation. 

SYSTEM MANAGER(S): 

Deputy Director, Division of Risk, 

Strategy, and Financial Innovation, U.S. 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77a et seq., 78a et seq., 80a– 

1 et seq., 80b–1 et seq., and 5 U.S.C. 

302. 

PURPOSE(S) OF THE SYSTEM: 

For use by authorized SEC personnel 

in receiving, recording, assigning, 

tracking, and taking action on tips, 

complaints, and referrals received from 

individuals and entities related to actual 

or potential violations of the Federal 

securities laws; investor harm; or 

conduct of public companies, securities 

professionals, regulated entities and 

associated persons. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

(1) Individuals that submit tips, 

complaints, or related information about 

actual or potential violations of the 

Federal securities laws; investor harm; 

conduct of public companies, securities 

professionals, regulated entities, and 

associated persons; and internal and 

external referrals of misconduct; (2) 

Individuals that are the subjects of a tip 

or complaint related to an actual or 

potential securities law violation; (3) 

Attorneys or other related individuals; 

and (4) SEC personnel or contractors 


jbell on DSKJLSW7X2PROD with NOTICES2
85482 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

assigned to handle such tips, 

complaints, and referrals. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may include individual 

names, dates of birth, social security 

numbers, addresses, telephone numbers, 

tip, complaint, and referral information 

including allegation descriptions, dates, 

and supporting details; supporting 

documentation; web forms; emails; 

criminal history; working papers of the 

staff; and other documents and records 

relating to the matter. 

RECORD SOURCE CATEGORIES: 

Information in these records may be 

supplied by investors and the general 

public, Commission-regulated entities 

including broker-dealers, investment 

advisers, self-regulatory organizations, 

other government agencies, and foreign 

regulators. 

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 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 self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85483 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. 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. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. 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. 

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 an 

individual’s or entity’s name, receipt 

date, subject matter, keywords that may 

include personal information, and/or 

other personal identifier. The system 

will also enable authorized SEC 

personnel to search for and retrieve 

records using conventional methods 

including but not limited to the use of 

unique record identifiers, keyword 

searches, geographic data (e.g. ZIP 

code), date and time searches, and sorts 

and filters. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(1). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 76 FR 30213 

(May 24, 2011). Subsequent notices of 

revision can be found at the following 

citations: 

—76 FR 57636 (September 16, 2011) 

SYSTEM NAME AND NUMBER: 

SEC–64: 

SEC Security in the Workplace 

Incident Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

SYSTEM MANAGER(S): 

Chief, SEC Security Branch, 100 F 

Street NE, Washington, DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 7902(d) and (e). 

PURPOSE(S) OF THE SYSTEM: 

The records are used by SEC 

personnel to take action on, or to 

respond to a complaint about a threat, 

harassment, intimidation, violence, or 

other inappropriate behavior involving 

one or more SEC employees, 

contractors, interns, or other individuals 

against an SEC employee; and to make 

assessments of violent or potentially 

violent situations and then make 

recommendations regarding 

interventions for those persons involved 

with the situations. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Past and present employees, interns, 

and volunteers of the Securities and 

Exchange Commission (employees), 

contractors, visitors, and others who 

have access to SEC facilities who report 


jbell on DSKJLSW7X2PROD with NOTICES2
85484 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

potential or actual workplace violence; 

persons accused of threatening to 

commit, or committing workplace 

violence, and persons interviewed or 

investigated in connection with reports 

or allegations of potential or actual 

workplace violence. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

These records include, but are not 

limited to: Case number, victim’s name, 

office telephone number, room number, 

office/division, duty station, position, 

supervisor, supervisor’s telephone 

number, location of incident, activity at 

time of incident, circumstances 

surrounding the incident, perpetrator, 

name(s) and telephone number(s) of 

witness(es), injured party(s), medical 

treatment(s), medical report, property 

damages, report(s) to police, and related 

information needed to investigate 

violence, threats, harassment, 

intimidation, or other inappropriate 

behavior causing SEC employees, 

contractors, or other individuals to fear 

for their personal safety in the SEC 

workplace. 

RECORD SOURCE CATEGORIES: 

Records source is from individuals 

who report potential or actual 

workplace security incidents, and 

reports made on individuals 

interviewed or investigated in 

connection with allegations of potential 

or actual workplace security incidents. 

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 Privacy Act, these records 

or information contained therein may 

specifically be disclosed 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. When a person or property is 

harmed, or when threats of harm to a 

person or property are reported, 

disclosure will be made, as appropriate, 

to law enforcement authorities, medical 

treatment authorities, and those persons 

being threatened or harmed. 

3. To other Federal, state, local, or 

foreign law enforcement agencies; 

securities self-regulatory organizations; 

and foreign securities authorities to 

assist in or coordinate regulatory or law 

enforcement activities with the SEC. 

4. To a bar association, a state 

accountancy board, the Public Company 

Accounting Oversight Board, or any 

similar Federal, state, or local licensing 

authority for possible disciplinary 

action. 

5. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

6. 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. 

7. 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. 

8. 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. 

9. 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. 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. 

10. 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. 

11. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

12. To a Congressional office in 

response to an inquiry from that 

Congressional office made at the request 

of the individual to whom the record 

pertains. 

13. To respond to subpoenas in any 

litigation or other proceeding. 

14. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

15. 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. 

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 are retrieved by name or case 

designation (those who reported a 

violent or potentially violent event and 

those who were reported), event date, 

and event location 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85485 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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: 

These records will be maintained 

until they become inactive, at which 

time they will be retired or destroyed in 

accordance with records schedules of 

the United States Securities and 

Exchange Commission and as approved 

by the National Archives and Records 

Administration. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), and (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(1). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 76 FR 30213 

(May 24, 2011). Subsequent notices of 

revision can be found at the following 

citations: 

—76 FR 57636 (September 17, 2011) 

SYSTEM NAME AND NUMBER: 

SEC–65: 

Correspondence Response Systems. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

Also, records covered by Subsystem A 

are received by and maintained in the 

Commission’s Regional Offices, whose 

addresses are listed below under System 

Manager(s) and Address. 

SYSTEM MANAGER(S): 

Subsystem A: Chief Counsel, Office of 

Investor Education and Advocacy, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549; 

New York Regional Office, Regional 

Director, 3 World Financial Center, 

Suite 400, New York, NY 10281–1022; 

Boston Regional Office, Regional 

Director, 33 Arch 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. 

Subsystem B: Office of the Chairman, 

Securities and Exchange Commission, 

100 F Street NE, Washington, DC 20549. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77s, 77sss, 78d, 78d–1, 78d– 

2, 78w, 78ll(d), 79t, 80a–37, and 80b–11. 

PURPOSE OF THE SYSTEM: 

The records will be used by the staff 

to track and process complaints/ 

inquiries/requests from members of the 

public and others. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Subsystem A: 

Records are maintained in the 

Investor Response Information System 

(IRIS) on members of the public and 

others who submit questions or 

complaints to the Commission 

generally, or to Divisions and Offices of 

the Commission, or who contact the 

Office of Investor Education and 

Advocacy or the Commission’s Regional 

Offices. 

Subsystem B: 

Records are maintained in the 

Chairman’s Correspondence System 

(CCS) on members of the public, 

members of Congress or their staff, and 

others who address their inquiries or 

complaints to the Commission’s 

Chairman’s Office or to the Office of 

Legislative and Intergovernmental 

Affairs. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Both electronic and paper records in 

this system/subsystems may contain the 

name of the complainant/inquirer/ 

requester or their representative, the 

name of the entity and/or subject of the 

complaint/inquiry/request, the date 

relating to the receipt and disposition of 

the complaint/inquiry/request, 

Personally Identifiable Information (PII) 

and other sensitive information such as 

investment account information, and, 

where applicable, the type of complaint/ 

inquiry/request and other information 

derived from or relating to the 

complaint/inquiry/request. Paper 

records may include, but are not limited 

to, letters of complaint/inquiry/request, 

responses, and related documentation. 

RECORD SOURCE CATEGORIES: 

Information collected in all 

subsystems is received from individuals 

primarily through web forms, email, 


jbell on DSKJLSW7X2PROD with NOTICES2
85486 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

letters, telephone calls, or personal 

visits to the Commission’s offices. 

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 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 (a) it is suspected or 

confirmed that the security or 

confidentiality of information in the 

system of records has been 

compromised; (b) the SEC has 

determined that, as a result of the 

suspected or confirmed compromise, 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

SEC or another agency or entity) that 

rely upon the compromised 

information; and (c) 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 

compromise and prevent, minimize, or 

remedy such harm. 

2. To other Federal, state, local, or 

foreign law enforcement agencies; 

securities self-regulatory 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. By SEC personnel for purposes of 

investigating possible violations of, or to 

conduct investigations authorized by, 

the Federal securities laws. 

5. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

6. In connection with proceedings by 

the Commission pursuant to Rule 102(e) 

of its Rules of Practice, 17 CFR 

201.102(e). 

7. To a bar association, state 

accountancy board, or other Federal, 

state, local, or foreign licensing or 

oversight authority; or professional 

association or self-regulatory authority 

to the extent that it performs similar 

functions (including the Public 

Company Accounting Oversight Board) 

for investigations or possible 

disciplinary action. 

8. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

9. 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. 

10. 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. 

11. To any trustee, receiver, master, 

special counsel, or other individual or 

entity that is appointed by a court of 

competent jurisdiction, or as a result of 

an agreement between the parties in 

connection with litigation or 

administrative proceedings involving 

allegations of violations of the Federal 

securities laws (as defined in section 

3(a)(47) of the Securities Exchange Act 

of 1934, 15 U.S.C. 78c(a)(47)) or 

pursuant to the Commission’s Rules of 

Practice, 17 CFR 201.100 through 900 or 

the Commission’s Rules of Fair Fund 

and Disgorgement Plans, 17 CFR 

201.1100 through 1106, or otherwise, 

where such trustee, receiver, master, 

special counsel, or other individual or 

entity is specifically designated to 

perform particular functions with 

respect to, or as a result of, the pending 

action or proceeding or in connection 

with the administration and 

enforcement by the Commission of the 

Federal securities laws or the 

Commission’s Rules of Practice or the 

Rules of Fair Fund and Disgorgement 

Plans. 

12. 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. 

13. 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. 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. 

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 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. 

16. To any person who is or has 

agreed to be subject to the Commission’s 

Rules of Conduct, 17 CFR 200.735–1 

through 200.735–18, and who assists in 

the investigation by the Commission of 

possible violations of the Federal 

securities 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. 

17. To a Congressional office from the 

record of an individual in response to 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85487 

an inquiry from the Congressional office 

made at the request of that individual. 

18. To members of Congress, the 

press, and the public in response to 

inquiries relating to particular 

Registrants and their activities, and 

other matters under the Commission’s 

jurisdiction. 

19. To prepare and publish 

information relating to violations of the 

Federal securities laws as provided in 

15 U.S.C. 78c(a)(47)), as amended. 

20. To respond to subpoenas in any 

litigation or other proceeding. 

21. To a trustee in bankruptcy. 

22. To members of Congress, the 

General Accountability Office, or others 

charged with monitoring the work of the 

Commission or conducting records 

management inspections. 

23. To respond to inquiries from 

individuals who have submitted 

complaints/inquiries/request, or from 

their representatives. 

24. To entities against which 

complaints/inquiries/requests are 

directed when Commission staff 

requests them to research the issues 

raised and report back to the staff. 

POLICIES AND PRACTICES STORAGE OF RECORDS: 

Records are maintained in electronic 

and paper format. Electronic records are 

stored in computerized databases and/or 

on computer disc. Paper records and 

records on computer disc are stored in 

file rooms and/or file cabinets, as well 

as off-site locations including the 

Federal Records Center, pursuant to 

applicable record retention guidelines. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

The files (both paper and electronic) 

in Subsystems A and B are retrievable 

by the name, receipt date, name of the 

registered representative or associated 

person named in the complaint/inquiry/ 

request, or the name of the entity/issuer 

that is the subject of the complaint/ 

inquiry/request. 

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 records schedules of 

the United States Securities and 

Exchange Commission and as approved 

by the National Archives and Records 

Administration. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24 

hour security guard service. The records 

are kept in limited access areas during 

duty hours and in file cabinets and/or 

offices or file rooms at all other times. 

Computerized records are safeguarded 

through use of access codes and 

information technology security. 

Contractors and other recipients 

providing services to the Commission 

are contractually obligated 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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Under 5 U.S.C. 552a(k)(2), this system 

of records is exempted from the 

following provisions of the Privacy Act, 

5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), 

(H), (I), and (f) and 17 CFR 200.303, 

200.304, and 200.306, insofar as it 

contains investigatory materials 

compiled for law enforcement purposes. 

This exemption is contained in 17 CFR 

200.312(a)(1). 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 76 FR 30213 

(May 24, 2011). Subsequent notices of 

revision can be found at the following 

citations: 

—76 FR 57636 (September 18, 2011) 

SYSTEM NAME AND NUMBER: 

SEC–66: 

Backup Care Employee and Family 

Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Bright Horizons Family Solutions, 200 

Talcott Avenue, Watertown, MA 02472. 

Records may also be maintained at 

subcontracted childcare center 

locations. Electronic Reports of SEC 

Employees’ registrations and uses are 

maintained at the Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549. 

SYSTEM MANAGER(S): 

Associate Executive Director, Office of 

Human Resources, Securities and 

Exchange Commission, 100 F Street NE, 

Washington, DC 20549–3901. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

40 U.S.C 590. 

PURPOSE(S) OF THE SYSTEM: 

The records are used to determine an 

employee’s eligibility to request backup 

care benefits for family members. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Current SEC employees who 

voluntarily sign up for backup care 

benefits and their family members for 

whom care is needed. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may contain employee name, 

email address, home address, home and 

cell telephone numbers, and date of 

birth; family member’s name, address, 

date of birth, physician medical form, 

and medical identification number; 

photos of child, and individuals 

authorized to pick up child; and 

provider’s name. 

RECORD SOURCE CATEGORIES: 

All information is provided by SEC 

employees registering for the services. 

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 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 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 


jbell on DSKJLSW7X2PROD with NOTICES2
85488 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

studies; may also be used to respond to 

general requests for statistical 

information (without personal 

identification of individuals) under the 

Freedom of Information Act. 

3. 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. 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. 

4. 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. 

5. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

6. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 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. 

7. 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. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Records are maintained in electronic 

format. Electronic records are stored in 

computerized databases, magnetic disc, 

tape and/or on 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 are retrieved by the 

individual’s name. 

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 records schedules of 

the United States Securities and 

Exchange Commission and 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 

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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 77 FR 65913 

(October 31, 2012). Subsequent notices 

of revision can be found at the following 

citations: 

—78 FR 41962 (July 12, 2013) 

SYSTEM NAME AND NUMBER: 

SEC–67: 

General Information Technology 

Records. 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

Headquarters, 100 F Street NE, 

Washington, DC 20549 and the SEC’s 

Regional Offices. 

SYSTEM MANAGER(S): 

Chief Information Officer, Securities 

and Exchange Commission, 100 F Street 

NE, Washington, DC 20549–2465. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 302, Delegation of Authority; 

44 U.S.C. 3534; Federal Information 

Security Act (Pub. L. 104–106, section 

5113); Electronic Government Act (Pub. 

L. 104–347, section 203); and E.O. 9397 

(SSN), as amended by E.O. 13487. 

PURPOSE(S) OF THE SYSTEM: 

The purpose of this system is to (1) 

provide authentication and 

authorization to individuals with access 

to SEC-controlled information and 

information system networks; (2) 

collect, review, and maintain any logs, 

audit trails, or other such security data 

regarding the use of SEC information or 

information systems; and (3) to enable 

the Commission to detect, report, and 

take appropriate action against improper 

or unauthorized access to SECcontrolled information and information 

systems networks. The records will also 

enable the SEC to provide individuals 

access to certain programs and meeting 

attendance and, where appropriate, 

allow for sharing of information 

between individuals in the same 

operational program to facilitate 

collaboration. SEC management 

personnel may use statistical data, with 

all personal identifiers removed or 

masked, for system efficiency, workload 

calculation, or reporting purposes. 


jbell on DSKJLSW7X2PROD with NOTICES2
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 85489 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records are maintained on all 

individuals who are authorized to 

access SEC information or information 

systems; including: employees, 

contractors, students, interns, 

volunteers, affiliates, others working on 

behalf of the SEC, and individuals 

formerly in any of these positions. 

Records may also include individuals 

who voluntarily join an SEC-owned and 

operated web portal for collaboration 

purposes; individuals who request 

access but are denied, and/or who have 

had access revoked. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The system of records may include: 

Users’ names; social security numbers; 

business telephone numbers; cellular 

phone numbers; pager numbers; levels 

of access; physical and email addresses; 

titles; departments; division; contractor/ 

employee status; computer logon 

addresses; password hashes; user 

identification codes; dates and times of 

access; IP addresses; logs of internet 

activity; types of access/permissions 

required; failed access data; archived 

transaction data; historical data; and 

justifications for access to SEC 

computers, networks, or systems. For 

individuals who telecommute from 

home or a telework center, the records 

may contain the internet Protocol (IP) 

address and telephone number at that 

location. For contractors, the system 

may contain the company name, 

contract number, and contract 

expiration date. The system may also 

contain details regarding: Programs; 

databases; functions; and sites accessed 

and/or used, dates and times of use, 

information products created, received, 

or altered during use, and access or 

functionality problems reported for 

technical support and resolution. 

RECORD SOURCE CATEGORIES: 

Information is supplied by the record 

subject, their supervisors, and the 

personnel security staff. Logs and 

details about access times and functions 

used are provided by the system. 

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 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 self-regulatory organizations; 

and foreign financial regulatory 

authorities to assist in or coordinate 

regulatory or law enforcement activities 

with the SEC. 

3. In any proceeding where the 

Federal securities laws are in issue or in 

which the Commission, or past or 

present members of its staff, is a party 

or otherwise involved in an official 

capacity. 

4. To a Federal, state, local, tribal, 

foreign, or international agency, if 

necessary to obtain information relevant 

to the SEC’s decision concerning the 

hiring or retention of an employee; the 

issuance of a security clearance; the 

letting of a contract; or the issuance of 

a license, grant, or other benefit. 

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. 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 respond to subpoenas in any 

litigation or other proceeding. 

10. 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. 

11. To members of Congress, the 

Government Accountability Office, or 

others charged with monitoring the 

work of the Commission or conducting 

records management inspections. 

12. To a commercial contractor in 

connection with benefit programs 

administered by the contractor on the 

Commission’s behalf, including, but not 

limited to, supplemental health, dental, 

disability, life and other benefit 

programs. 

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. 

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: 

Information may be retrieved, sorted, 

and/or searched by an identification 

number assigned by the computer, the 

last two digits of a social security 

number, email address, or by the name 

of the individual, or other employee 


jbell on DSKJLSW7X2PROD with NOTICES2
85490 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

data fields previously identified in this 

SORN. 

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 

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 4 

(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 20549–2465. 

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 

20549–2465. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

This SORN was last published in full 

in the Federal Register at 79 FR 30661 

(May 28, 2014). 

By the Commission. 

Dated: December 21, 2020. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2020–28601 Filed 12–23–20; 8:45 am] 

BILLING CODE 8011–01–P 


jbell on DSKJLSW7X2PROD with NOTICES2