[Federal Register Volume 62, Number 176 (Thursday, September 11, 1997)]
[Notices]
[Pages 47884-47886]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-24043]



[[Page 47883]]

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Part II





Securities and Exchange Commission





_______________________________________________________________________



Privacy Act of 1974; Systems of Records; Notices

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

[[Page 47884]]



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.

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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.                      
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.

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    (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

[[Page 47886]]

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]
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