Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices 16569 

3. Pursuant to 39 U.S.C. 505, James F. 

Callow is appointed to serve as the 

officer of the Commission (Public 

Representative) to represent the 

interests of the general public in this 

proceeding. 

4. The Secretary shall arrange for 

publication of this order in the Federal 

Register. 

By the Commission. 

Shoshana M. Grove, 

Secretary. 

[FR Doc. 2012–6784 Filed 3–20–12; 8:45 am] 

BILLING CODE P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. PA–48; File No. S7–03–12] 

Privacy Act of 1974: Systems of 

Records 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice to revise two existing 

systems of records. 

SUMMARY: In accordance with the 

requirements of the Privacy Act of 1974, 

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

Securities and Exchange Commission 

(‘‘Commission’’ or ‘‘SEC’’) proposes to 

revise two existing systems of records. 

The two existing systems of records are 

‘‘Administrative Audit System (SEC– 

14)’’ last published in the Federal 

Register Volume 63, Number 47 on 

Wednesday, March 11, 1992 and 

‘‘Fitness Center Membership, Payment, 

and Fitness Records (SEC–48)’’, last 

published in the Federal Register 

Volume 64, Number 77 on Thursday, 

April, 22, 1999. 

DATES: The proposed systems will 

become effective April 30, 2012 unless 

further notice is given. 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 be assured of 

consideration, comments should be 

received on or before April 20, 2012. 

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 rulecomments@sec.gov. Please include File 

Number S7–03–12 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, U.S. 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number S7–03–12. This file number 

should be included on the subject line 

if email is used. To help us process and 

review your comments more efficiently, 

please use only one method. The 

Commission will post all comments on 

the Commission’s Internet Web site 

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

Comments are also available for Web 

site 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 

available publicly. 

FOR FURTHER INFORMATION CONTACT: 

Todd Scharf, Acting Chief Privacy 

Officer, Office of Information 

Technology, 202–551–8800. 

SUPPLEMENTARY INFORMATION: The 

Commission proposes to revise two 

existing systems of records, 

‘‘Administrative Audit System (SEC– 

14)’’ and ‘‘Fitness Center Membership, 

Payment, and Fitness Records (SEC– 

48)’’. As described in the last published 

notice, the Administrative Audit System 

(SEC–14) records are used to ensure that 

all obligations and expenditures other 

than those in the pay and leave system 

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. 

Minor administrative changes to SEC– 

14 have been incorporated to reflect the 

Commission’s current address in the 

following sections: Notification, Access 

and Contesting Records Procedures. 

Substantive changes to the notice have 

been made to the following sections: (1) 

System Name, reflecting the new title: 

‘‘SEC Financial and Acquisition 

Management System’’; (2) System 

Location reflecting the addition of a new 

off-site location of the records; (3) 

Categories of individuals reflecting the 

types of individuals whose personally 

identifiable information is contained in 

the system; (4) Categories of Records, 

adding new types of individually 

identifiable information; (5) Routine 

Uses, adding certain standard routine 

uses as applicable to this system of 

records (those numbered 1 through 10); 

and (6) Record Source, reflecting the 

sources from which records are 

received. 

As described in the last published 

notice, the Fitness Center Membership, 

Payment, and Fitness Records (SEC–48) 

system is used to enable SEC Fitness 

Center staff to track fitness center 

membership, fee payments, and the 

physical fitness of members and to 

allow the SEC to provide a variety of 

health and fitness resources to its 

employees. Minor administrative 

changes to SEC–48 have been 

incorporated to reflect the Commission’s 

current address in the following 

sections: System Location; and 

Notification, Access and Contesting 

Records Procedures. Substantive 

changes to the notice have been made to 

the following sections: (1) System 

Name, reflecting the new title: ‘‘SEC 

Employee’s Health and Fitness Program 

Records’’; and (2) Routine Use, adding 

standard routine uses as applicable to 

this system. 

The Commission has submitted a 

report of the amended existing systems 

of records to the appropriate 

Congressional committees and to the 

Director of the Office of Management 

and Budget (‘‘OMB’’) as required by 5 

U.S.C. 552a(r) (Privacy Act of 1974) and 

guidelines issued by OMB on December 

12, 2000 (65 FR 77677). 

Accordingly, the Commission is 

proposing amendment of two existing 

systems of records to read as follows: 

SEC–14 

SYSTEM NAME: 

SEC Financial and Acquisition 

Management System 

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 Munroney Aeronautical Center, 

AMZ–740, 6500 S. MacArthur Blvd., 

Headquarters Bldg. 1, Oklahoma City, 

OK 73169. 

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, 


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16570 Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices 

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; 

and 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. 

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): 

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 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. 

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 (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. 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 

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. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

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. 

RETRIEVABILITY: 

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. 

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 locked file cabinets 

and/or locked offices or file rooms at all 

other times. Access is limited to those 

personnel whose official duties require 

access. 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. 

RETENTION AND DISPOSAL: 

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. 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief Financial Officer, Office of 

Financial Management, Securities and 


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Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices 16571 

Exchange Commission, 100 F Street NE., 

Washington, DC 20549–6041. 

NOTIFICATION PROCEDURE: 

All requests to determine whether this 

system of records contains a record 

pertaining to the requesting individual 

may be directed to the FOIA/PA Officer, 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–5100. 

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 20549–5100. 

CONTESTING RECORD PROCEDURES: 

See Record Access Procedures above. 

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: FedTraveler, 

Department of the Interior (DOI) Payroll 

System, Bureau of Public Debt, and 

EDGAR Momentum. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None 

SEC–48 

SYSTEM NAME: 

Fitness Center Membership, Payment, 

and Fitness Records SEC Employee’s 

Health and Fitness Program Records. 

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. 

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. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

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

PURPOSE(S): 

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. 

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 (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 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. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

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. 

RETRIEVABILITY: 

Records are retrieved by the 

individual’s name or membership 

number. 

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 locked file cabinets 

and/or locked offices or file rooms at all 

other times. Access is limited to those 

personnel whose official duties require 

access. 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. 

RETENTION AND DISPOSAL: 

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. 


erowe on DSK2VPTVN1PROD with NOTICES
16572 Federal Register / Vol. 77, No. 55 / Wednesday, March 21, 2012 / Notices 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3 15 U.S.C. 78s(b)(3)(A). 

4 17 CFR 240.19b–4(f)(4)(i). 

SYSTEM MANAGER(S) AND ADDRESS: 

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. 

NOTIFICATION PROCEDURE: 

All requests to determine whether this 

system of records contains a record 

pertaining to the requesting individual 

may be directed to the FOIA/PA Officer, 

Securities and Exchange Commission, 

100 F Street NE., Washington, DC 

20549–5100. 

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 20549–5100. 

CONTESTING RECORD PROCEDURES: 

See Record access procedures above. 

RECORD SOURCE CATEGORIES: 

All information is provided by Fitness 

Center members. 

EXEMPTION CLAIMED FOR THE SYSTEM: 

None. 

Dated: March 15, 2012. 

By the Commission. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2012–6788 Filed 3–20–12; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–66601; File No. SR–CME– 

2012–07] 

Self-Regulatory Organizations; 

Chicago Mercantile Exchange Inc.; 

Notice of Filing and Immediate 

Effectiveness of Proposed Rule 

Change To Add Additional Series of 

Credit Default Index Swaps Available 

for Clearing 

March 15, 2012. 

Pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 19b-4 thereunder,2

notice is hereby given that on March 9, 

2012, Chicago Mercantile Exchange Inc. 

(‘‘CME’’) filed with the Securities and 

Exchange Commission (‘‘Commission’’) 

the proposed rule change described in 

Items I, II and III below, which items 

have been prepared primarily by CME. 

CME filed the proposed rule change 

pursuant to Section 19(b)(3)(A) 3 of the 

Act and Rule 19b–4(f)(4)(i) 4 thereunder. 

I. Self-Regulatory Organization’s 

Statement of Terms of Substance of the 

Proposed Rule Change 

The text of the proposed rule change 

is below. Italicized text indicates 

additions; bracketed text indicates 

deletions. 

* * * * * 

CHICAGO MERCANTILE EXCHANGE 

INC. RULEBOOK 

Rule 100—80203—No Change. 

CME Chapter 802 Rules: Appendix I 

Appendix 1 

CDX INDICES

CDX Index Series 

Termination date 

(scheduled termination) 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 9 20 Dec 2012. 

20 Dec 2014. 

20 Dec 2017. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 10 20 Jun 2013. 

20 Jun 2015. 

20 Jun 2018. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 11 20 Dec 2011. 

20 Dec 2013. 

20 Dec 2015. 

20 Dec 2018. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 12 20 Jun 2012. 

20 Jun 2014. 

20 Jun 2016. 

20 Jun 2019. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 13 20 Dec 2012. 

20 Dec 2014. 

20 Dec 2016. 

20 Dec 2019. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 14 20 Jun 2013. 

20 Jun 2015. 

20 Jun 2017. 

20 Jun 2020. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 15 20 Dec 2013. 

20 Dec 2015. 

20 Dec 2017. 

20 Dec 2020. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 16 20 Jun 2014. 

20 Jun 2016. 

20 Jun 2018. 

20 Jun 2021. 

CDX North American Investment Grade (CDX.NA.IG) .............................................................................. 17 20 Dec 2014. 

20 Dec 2016. 

20 Dec 2018. 


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