47884 Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices

SECURITIES AND EXCHANGE

COMMISSION

[Release No. PA–20]

Privacy Act of 1974: Deletion,

Modification, and Redesignation of

Privacy Act Systems of Records

AGENCY: Securities and Exchange

Commission.

ACTION: Notification of deletion and

modification of Privacy Act Systems of

Records and redesignation of all records

systems for the Securities and Exchange

Commission.

SUMMARY: In accordance with the

requirements of the Privacy Act of 1974,

as amended, 5 U.S.C. 552a, the

Securities and Exchange Commission is

removing four records systems that are

either duplicative of a government-wide

records system; not retrieved by name or

personal identifier, and, therefore, not a

Privacy Act system; not implemented or

in effect; or obsolete. The Commission

is also modifying forty-one systems that

involve updating the Commission’s

address as reflected in the system

locations, system manager(s) and

address, retention and disposal,

notification procedures, and record

access procedures, due to recent office

moves. Finally, the release would revise

the Federal Register’s biennial

compilation of Federal Agency Privacy

Act System Notices by redesignating/

renumbering the Commission’s records

systems and by removing appendix A

and replacing it with a Table of

Contents.

EFFECTIVE DATE: September 11, 1997.

FOR FURTHER INFORMATION CONTACT:

Hannah R. Hall, Privacy Act Officer,

Tel. (202) 942–4320, Office of the

Executive Director, Freedom of

Information Act and Privacy Act

Operations, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SUPPLEMENTARY INFORMATION: In the

course of reviewing its Privacy Act

systems of records notices, the

Commission identified four systems of

records which are being removed: SEC–

21, ‘‘Division of Corporate Regulation

Bankruptcy Act Records’’; SEC–30,

‘‘Equal Employment Opportunity

Complaints’’; SEC–39, ‘‘Telephone Call

Detail Records’’; and SEC–57, ‘‘SECO

Files.’’ With respect to SEC–21, the

records in the system are not retrievable

by name or other personal identifier

and, therefore, the system is not a

Privacy Act system of records. With

respect to SEC–30, the records are

maintained in another system of records

subject to a government-wide system

notice (EEOC/GOVT–1), published by

the Equal Employment Opportunity

Commission. With respect to SEC–39,

the Commission published a notice of

its intent to establish this system of

records subject to any comments

‘‘which would result in a contrary

determination.’’ 60 FR 48733 (Sept. 20,

1995). In response to comments

received, the Commission determined

not to implement the system of records

and, therefore, withdraws its Privacy

Act notice. With respect to SEC–57, the

Commission no longer places records in

this system, which is now obsolete.

In addition, the Commission has

deemed it necessary to redesignate/

renumber all remaining systems notices.

Finally, the Commission is replacing the

appendix A of the systems of records

with a Table of Contents, to provide a

better guide to the Commission’s

Privacy Act systems notices. For the

purposes of complying with the Privacy

Act and OMB Circular A–130, these

modifications are minor changes and do

not require an advance report to, and

review by, the Congress and the Office

of Management and Budget.

The following systems of records are

hereby removed from the Federal

Register because they are either: (1)

Duplicative of a government-wide

records system; (2) not retrieved by

name or personal identifier and,

therefore, not a Privacy Act system of

records; (3) not implemented or in

effect; or (4) obsolete.

SEC–21

System name: Division of Corporate

Regulation Bankruptcy Act Records.

SEC–30

System name: Equal Employment

Opportunity Complaints.

SEC–39

System name: Telephone Call Detail

Records.

SEC–57

System name: SECO Files.

The following systems notices have

been redesignated according to the table

below.

PRIVACY ACT SYSTEMS NOTICES

NUMBERS

Old No. New No.

SEC–17 ................................... SEC–9.

SEC–18 ................................... SEC–10.

SEC–19 ................................... SEC–11.

SEC–34 ................................... SEC–12.

SEC–43 ................................... SEC–13.

SEC–09 ................................... SEC–14.

SEC–53 ................................... SEC–15.

SEC–10 ................................... SEC–16.

SEC–41 ................................... SEC–17.

PRIVACY ACT SYSTEMS NOTICES

NUMBERS—Continued

Old No. New No.

SEC–14 ................................... SEC–18.

SEC–22 ................................... SEC–19.

SEC–23 ................................... SEC–20.

SEC–27 ................................... SEC–21.

SEC–31 ................................... SEC–22.

SEC–40 ................................... SEC–23.

SEC–32 ................................... SEC–24.

SEC–52 ................................... SEC–25.

SEC–42 ................................... SEC–27.

SEC–26 ................................... [Reserved].

SEC–44 ................................... SEC–28.

SEC–16 ................................... SEC–29.

SEC–45 ................................... SEC–30.

SEC–46 ................................... SEC–31.

SEC–56 ................................... SEC–32.

SEC–11 ................................... SEC–33.

SEC–13 ................................... SEC–34.

SEC–58 ................................... SEC–35.

SEC–98 ................................... SEC–36.

SEC–100 ................................. SEC–37.

SEC–47 ................................... SEC–38.

SEC–49 ................................... SEC–39.

SEC–51 ................................... SEC–40.

SEC–54 ................................... SEC–41.

SEC–102 ................................. SEC–42.

SEC–103 ................................. SEC–43.

A Table of Contents is added to read

as follows:

Table of Contents: System Notices Names

and Numbers

(1) Registration Statements Filed Pursuant

to Provisions of the Securities Act of 1933,

Securities Exchange Act of 1934, Public

Utility Holding Company Act of 1935, and

Investment Company Act of 1940.

(2) Applications for Registration/

Exemption under the Securities Exchange

Act of 1934, Investment Advisers Act of

1940, and Investment Company Act of 1940.

(3) Notification of Exemption from

Registration under the Securities Act of 1933.

(4) Beneficial Ownership, Acquisition,

Tender Offer, and Solicitation Records Filed

under the Securities Exchange Act of 1934.

(5) Ownership Reports and Insider Trading

Transaction Records Filed under the

Securities Exchange Act of 1934, Public

Utility Holding Company Act of 1935, and

Investment Company Act of 1940.

(6) Periodic Reports Filed under the

Securities Act of 1933, Securities Exchange

Act of 1934, Public Utility Holding Company

Act of 1935, and Investment Company Act of

1940 and Investment Advisers Act of 1940.

(7) Proposed Sale of Securities Records

Filed under the Securities Act of 1933.

(8) Proxy Soliciting Material Filed under

the Securities Exchange Act of 1934, Public

Utility Holding Company Act of 1935, and

Investment Company Act of 1940.

(9) Correspondence Files Pertaining to

Registered Broker-Dealers.

(10) Correspondence Files Pertaining to

Registered Investment Advisers.

(11) Correspondence Files Pertaining to

Registered Investment Companies.

(12) Hearings, Proceedings and Studies.

(13) No-action and Interpretative Letters.

(14) Administrative Audit System.
Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices 47885

(15) Pay and Leave System.

(16) Administrative Law Judge

Assignments and Dispositions of

Administrative Proceedings.

(17) Minutes Regarding Action Taken by

the Commission.

(18) Applications for Relief From

Disqualification Filed Under the Securities

Act of 1933 and the Commission’s Rules of

Practice.

(19) Division of Corporation Finance and

Support Office Working Files.

(20) Division of Corporation Finance Index

for Filings on Schedule 13D and Filings

under Regulations A and B.

(21) Division of Investment Management

Correspondence and Memoranda Files.

(22) Executive/Congressional Personnel

Referrals.

(23) Staff Time and Activity Tracking

System (STATS).

(24) Freedom of Information Act Requests.

(25) Office of Public Affairs, Policy

Evaluation and Research Records.

(26) (Reserved)

(27) Name-Relationship Search System

(NRS).

(28) Office of the Chief Accountant

Working Files.

(29) Agency Correspondence Tracking

System (ACTS).

(30) Office of General Counsel Work Files.

(31) Office of General Counsel

(Adjudication) Working Files.

(32) Rule 102(e) of the Commission’s Rules

of Practice—Appearance and Practice Before

the Commission.

(33) Administrative and Litigation Release

System.

(34) Administrative Proceedings Records

Cards.

(35) Securities Violations Records and

Bulletin.

(36) Administrative Proceeding Files.

(37) Automated Personnel Management

Information System.

(38) Personnel Management Code of

Conduct and Employee Performance Files.

(39) Personnel Management Employment

and Staffing Files.

(40) Office of Personnel Training Files.

(41) Personnel Management Security Files.

(42) Enforcement Files.

(43) Office of Inspector General

Investigative Files.

Note: Published at 55 FR 1744 (Jan. 18,

1990).

The following systems of records

notices, which have been redesignated

according to the previous table, are

being revised to reflect changes in the

following: System locations, system

managers and addresses, notification

procedures, and record access

procedures.

SEC–1 Through SEC–13

These systems are amended as follow:

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Records Officer, Office of Filings and

Information Services, Securities and

Exchange Commission, Operations

Center, 6432 General Green Way, Mail

Stop A–1, Alexandria, VA 22312–2413.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–14 and SEC–15

These systems are amended as follow:

SYSTEM LOCATION:

This section is revised to read:

Securities and Exchange Commission,

Operations Center, 6432 General Green

Way, Mail Stop O–3, Alexandria, VA

22312–2413.

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Associate Executive Director (Finance),

Office of the Comptroller, Securities and

Exchange Commission, Operations

Center, 6432 General Green Way, Mail

Stop O–3, Alexandria, VA 22312–2413.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–23

SEC–23 is amended as follows:

SYSTEM LOCATION:

This section is revised to read:

Securities and Exchange Commission,

Office of the Executive Director,

Securities and Exchange Commission,

450 Fifth Street, NW, Washington, DC

20549.

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read: Chief

Management Analyst, Office of the

Executive Director, Securities and

Exchange Commission, 450 Fifth Street,

NW, Washington, DC 20549.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–24

SEC–24 is amended as follows:

SYSTEM LOCATION:

This section is revised to read:

Securities and Exchange Commission,

Operations Center, 6432 General Green

Way, Alexandria, VA 22312–2413.

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Freedom of Information Act Officer,

Office of Freedom of Information and

Privacy Act Operations, Securities and

Exchange Commission, Operations

Center, 6432 General Green Way, Mail

Stop O–5, Alexandria, VA 22312–2413.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange
47886 Federal Register / Vol. 62, No. 176 / Thursday, September 11, 1997 / Notices

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–27

SEC–27 is amended as follows:

SYSTEM LOCATION:

This section is revised to read:

Securities and Exchange Commission,

Operations Center, 6432 General Green

Way, Mail Stop O–4, Alexandria, VA

22312–2413.

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Associate Executive Director, Office of

Information Technology, Securities and

Exchange Commission, Operations

Center, 6432 General Green Way, Mail

Stop O–4, Alexandria, VA 22312–2413.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–32

SEC–32 is amended as follows:

SYSTEM NAME:

This section is revised to read: Rule

102(e) of the Commission’s Rules of

Practice—Appearance and Practice

Before the Commission-SEC.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Reference to ‘‘17 CFR 201.2(e)’’ is

revised to read: ‘‘17 CFR 201.102(e)’’.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Reference to ‘‘17 CFR 202.1 et seq.’’ is

revised to read: ‘‘17 CFR 201.100 et

seq.’’ Reference to ‘‘17 CFR 202.785–1 et

seq.’’ is revised to read: ‘‘17 CFR

200.735–1 et seq.’’

SYSTEM MANAGER(S) AND ADDRESS:

All references to Rule 2(e) are

removed and replaced with Rule 102(e).

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–38, SEC–39, and SEC–41

These systems are amended as follow:

SYSTEM LOCATION:

This section is revised to read:

Securities and Exchange Commission,

Operations Center, 6432 General Green

Way, Mail Stop O–1, Alexandria, VA

22312–2413.

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Associate Executive Director, Office of

Administrative and Personnel

Management, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–1,

Alexandria, VA 22312–2413.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–33, SEC–35, and SEC–36

These systems are amended as follow:

SYSTEM MANAGER(S) AND ADDRESS:

This section is revised to read:

Secretary, Office of the Secretary,

Securities and Exchange Commission,

450 Fifth Street, NW, Washington, DC

20549.

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

SEC–16 Through SEC–22, SEC–25, SEC–

28, SEC–30, SEC–31, SEC–34, SEC–37,

SEC–42, and SEC–43

These systems are amended as follow:

NOTIFICATION PROCEDURE:

This section is revised to read: All

requests to determine whether this

system of records contains a record

pertaining to the requesting individual

may be directed to the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

RECORD ACCESS PROCEDURES:

This section is revised to read:

Persons wishing to obtain information

on the procedures for gaining access to

or contesting the contents of these

records may contact the Privacy Act

Officer, Securities and Exchange

Commission, Operations Center, 6432

General Green Way, Mail Stop O–5,

Alexandria, VA 22312–2413.

Appendix A

Appendix A is removed.

Dated: September 4, 1997.

By the Commission.

Margaret H. McFarland,

Deputy Secretary.

[FR Doc. 97–24043 Filed 9–10–97; 8:45 am]

BILLING CODE 8010–01–P