Document ID: SEC-2010-0333-0001
Agency: sec
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2010-03-04T05:00Z

[Federal Register: March 4, 2010 (Volume 75, Number 42)]
[Notices]               
[Page 9968-9970]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr04mr10-116]                         

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SECURITIES AND EXCHANGE COMMISSION

[Release No. PA-41; File No. S7-05-10]

 
Privacy Act of 1974: Systems of Records

AGENCY: Securities and Exchange Commission.

ACTION: Notice of revised system of records.

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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 
(``Commission'' or ``SEC'') proposes to revise a Privacy Act system of 
records: ``Mailing, Contact and Other Lists (SEC-56)'', originally 
published in the Federal Register Volume 74, Number 139 on Wednesday, 
July 22, 2009.

DATES: The proposed changes will become effective April 13, 2010 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 5, 2010.

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 e-mail to rule-comments@sec.gov. Please include 
File Number S7-05-10 on the subject line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy, 
Secretary, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549-1090.

All submissions should refer to File Number S7-05-10. This file number 
should be included on the subject line if e-mail 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 
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: Barbara A. Stance, Chief Privacy 
Officer, Office of Information Technology, 202-551-7209.

SUPPLEMENTARY INFORMATION: The Commission proposes to revise a system 
of records: ``Mailing, Contact and Other Lists (SEC-56)''. As described 
in the original notice, the system contains records related to 
individuals and employees who submit requests for information, 
subscriptions, inquiries, guidance, informal advice and other 
assistance to the SEC, and records related to individuals who register 
for SEC-related activities and events. This notice is published to 
revise the system of records to add the following new routine use: ``To 
individuals who register for SEC-sponsored seminars, training programs 
or compliance meetings, such as the CCOutreach Program.''
    The Commission has submitted a report of the revised system 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

[[Page 9969]]

issued by OMB on December 12, 2000 (65 FR 77677).
    Accordingly, the Commission is revising the system of records to 
read as follows:
SEC-56

SYSTEM NAME:
    Mailing, Contact and Other Lists.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street, NE., Washington, 
DC 20549. Records are also maintained in the SEC Regional Offices.

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, such as seminars, 
training programs or compliance meetings; and individuals who have 
responded to questionnaires, request forms and feedback forms.

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, e-mail 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.

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):
    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 to SEC-related activities and events, 
and allow the sharing of personal contact information of registrants 
who consent to the sharing of their personal information at the time of 
registration.

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. When (1) it is suspected or confirmed that the security or 
confidentiality of information in the system of records has been 
compromised; (2) 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 (3) the disclosure is made to such 
agencies, entities, and persons who are 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. Where there is an indication of a violation or potential 
violation of law, whether civil, criminal or regulatory in nature, and 
whether arising by general statute or particular program statute, or by 
regulation, rule or order issued pursuant thereto, the relevant records 
in the system of records may be referred, as a routine use, to the 
appropriate agency, whether federal, state, local, foreign or a 
securities self-regulatory organization charged with the responsibility 
of investigating or prosecuting such violation or charged with 
enforcing or implementing the statute, or rule, regulation or order 
issued pursuant thereto.
    3. Records in this system may, in the discretion of the 
Commission's staff, be disclosed to any person during the course of any 
inquiry or investigation conducted by the Commission 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.
    4. A record or information in this system may be disclosed to any 
person with whom the Commission contracts to reproduce, by typing, 
photocopy or other means, any record within this system for use by the 
Commission and its staff in connection with their official duties or to 
any person who is utilized by the Commission to perform clerical or 
stenographic functions relating to the official business of the 
Commission.
    5. Records or information in records contained in this system may 
be disclosed 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. Disclosure may be made 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.
    7. 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.
    8. To individuals who register for SEC-sponsored seminars, training 
programs or compliance meetings, such as the CCOutreach Program.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in electronic format, paper form, magnetic 
disk and tape. Electronic records are stored in computerized databases. 
Paper, magnetic disk or tape records are stored in locked file rooms or 
file cabinets.

RETRIEVABILITY:
    Records may be retrieved by any of the following: E-mail address, 
name, or an assigned file number for the purpose of responding to the 
requestor. Information may additionally be retrieved by other personal 
identifiers.

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.

[[Page 9970]]

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:
For SEC Headquarters
    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.

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 is supplied by the individual and/or company making 
the request; or the individual who has registered for an SEC-related 
event such as a seminar, training program or compliance meeting. Data 
may also be added pertaining to the fulfillment of the request. 
Information may also be obtained from other SEC records systems.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

    Dated: February 25, 2010.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2010-4529 Filed 3-3-10; 8:45 am]
BILLING CODE 8011-01-P