[Federal Register Volume 59, Number 102 (Friday, May 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-12942]
[[Page Unknown]]
[Federal Register: May 27, 1994]
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SECURITIES AND EXCHANGE COMMISSION
Release No. PA-18
Privacy Act of 1974: Modification and Deletion of Systems of
Records
AGENCY: Securities and Exchange Commission.
ACTION: Notification of deletion of Privacy Act Systems of Records and
minor changes to descriptions of existing records systems for the
Securities and Exchange Commission.
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SUMMARY: In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Securities and Exchange Commission is deleting seven records systems
that are either obsolete or were replaced by another existing system;
and altering the notices of forty-three existing systems of records to
reflect revisions to the agency's address, records retention and
disposal schedule, notification procedures and record access
procedures, updating the names of records systems, and designating new
systems managers.
EFFECTIVE DATE: May 27, 1994.
FOR FURTHER INFORMATION CONTACT: GayLa D. Sessoms, Privacy Act Officer
(202/942-4320), Office of the Executive Director, Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
SUPPLEMENTARY INFORMATION: In the course of reviewing its Privacy Act
Systems of Records notices, the Securities and Exchange Commission
identified two systems notices whose records duplicate those covered by
SEC-16 (Complaint Processing System). Another record system is no
longer maintained separately as its records have been consolidated in
SEC-102 (Enforcement Files). Three systems notices are being deleted
because they are obsolete. SEC-15 (Comments on Commission and
Securities Self-Regulatory Organization Rules Changes) is not retrieved
by a name or personal identifier, and therefore not a legitimate
Privacy Act System. The Commission also identified forty-three notices
that require minor alterations. For the most part, these changes
involve updating the Commission's address. The other changes include
revising records and disposal procedures, notification procedures and
record access procedures, revising the names of systems of records due
to the renaming of an office, and designating new systems managers.
None of these changes will affect an individual's ability to gain
access to his or her records maintained by the Commission.
* * * * *
The following systems of records are either: (1) obsolete; (2) not
retrieved by name or personal identifier and, therefore, not legitimate
Privacy Act systems; or (3) no longer maintained by the SEC as
independent systems and accordingly, the corresponding notices are
deleted from the Federal Register.
SEC-15
System name: Comments on Commission and Securities Self-Regulatory
Organization Rules Changes
SEC-20
System name: Defendant Index
SEC-33
System name: General Correspondence Files
SEC-39
System name: Mailing Address Labels (MAL)
SEC-60
System name: Subject File Index
SEC-72
System name: Denver Regional Office Regulation A Control Cards
SEC-78
System name: Fort Worth Regional Office and Houston Branch Office
General Indices
* * * * *
The following systems of records notices are being amended to
reflect changes in the following: system names, system locations,
retention and disposal schedules, system managers and offices,
notification procedures and record access procedures.
SEC-1, SEC-2, SEC-6, SEC-7 and SEC-8
These systems are amended as follows:
1. System location: The reference to SEC Regional and Branch
Offices is removed and replaced by SEC Regional and District Offices.
2. Retention and disposal: This section is revised to read: These
records are transferred to the Federal Records Center periodically for
storage. They are controlled by file number and disposed of in
accordance with the Commission's formal Records Control Schedule
outlined at 17 CFR 200.80f. Certain files that have been categorized as
permanent are retired to the National Archives and Records
Administration, after the designated storage period at the Federal
Records Center.
3. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-3
SEC-3 is amended as follows:
1. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
2. Retention and disposal: This section is revised to read: These
records are controlled by file number. They are destroyed ten years
after completion or termination of the offering, or by an order of the
Commission that permanently suspends the exemption, whichever comes
first, in accordance with the formal Records Control Schedule outlined
at 17 CFR 200.80f.
3. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-4 and SEC-5
These systems are amended as follows:
1. Retention and disposal: This section is revised to read: These
records are controlled by file number and maintained in-house at the
Commission's central records office for three years, then transferred
to the Federal Records Center for storage. They are destroyed in
accordance with the Commission's formal Records Control Schedule
outlined at 17 CFR 200.80f.
2. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-9
SEC-9 is amended as follows:
1. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
2. System manager(s) and address: This section is revised to read:
Associate Executive Director (Finance), Securities and Exchange
Commission, 450 Fifth Street NW., Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-10
SEC-10 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. System manager(s) and address: This section is revised to read:
Chief Administrative Law Judge, Securities and Exchange Commission, 450
Fifth Street NW., Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-11 and SEC-58
These systems are amended as follows:
1. System location: The reference to SEC Regional and Branch
Offices is removed and replaced by SEC Regional and District Offices.
2. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-13
SEC-13 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. System manager(s) and address: This section is revised to read:
Secretary, Securities and Exchange Commission, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-14
SEC-14 is amended as follows:
1. System location: The reference to SEC Regional and Branch
Offices is removed and replaced by SEC Regional and District Offices.
2. Retention and disposal: This section is revised to read: These
records are controlled by file number and maintained in-house until
final action on appeal is taken, then transferred to the Federal
Records Center for storage. They are destroyed ten years after the date
of the final action, in accordance with the Commission's formal Records
Control Schedule outlined at 17 CFR 200.80f.
3. System manager(s) and address: This section is revised to read:
1. Applications for relief of disqualifications under the Securities
Act of 1933: Director, Division of Corporation Finance, Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549. 2.
Applications for relief of disqualifications imposed under the
Commission's rules of practice: General Counsel, Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-16
SEC-16 is amended as follows:
1. System name: The name of this system notice is revised to read:
Agency Correspondence Tracking System (ACTS).
2. Retention and disposal: This section is revised to read: Records
are maintained for two years after the date received.
3. System manager(s) and address: This section is revised to read:
Secretary, Securities and Exchange Commission, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-17, SEC-18 and SEC-19
These systems are amended as follows:
1. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
2. Retention and disposal: This section is revised to read: These
records are controlled by file number and maintained in-house at the
Commission's central records office for three years, then transferred
to the Federal Records Center for storage. They are destroyed in
accordance with the Commission's formal Records Control Schedule
outlined at 17 CFR 200.80f.
3. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-21
SEC-21 is amended as follows:
1. System name: The name of this system notice is revised to read:
Bankruptcy Act Records.
2. System location: This section is revised to read: Securities and
Exchange Commission, Washington, DC 20549; Northeast Regional Office,
New York, NY 10048; Southeast Regional Office, Miami, FL 33131; Atlanta
District Office, Atlanta, GA, 30326-1232; Midwest Regional Office,
Chicago, IL 60661-2511; and Pacific Regional Office, Los Angeles, CA
90036-3648.
3. System manager(s) and address: This section is revised to read:
General Counsel, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-22, SEC-31, SEC-46 and SEC-103
These systems are amended as follows:
1. 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, 450 Fifth Street NW.,
Washington, DC 20549.
SEC-23
SEC-23 is amended as follows:
1. System manager(s) and address: This section is revised to read:
Director, Division of Corporation Finance, Securities and Exchange
Commission, 450 Fifth Street NW., Washington, DC 20549.
2. 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, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-27
SEC-27 is amended as follows:
1. System manager(s) and address: This section is revised to read:
Director, Division of Investment Management, Securities and Exchange
Commission, 450 Fifth Street NW., Washington, DC 20549.
2. 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, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-30
SEC-30 is amended as follows:
1. System manager(s) and address: This section is revised to read:
Director, Office of Equal Employment Opportunity, Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. 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, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-32
SEC-32 is amended as follows:
1. System location: This section revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. Retention and disposal: This section is revised to read: Records
are retained according to the General Records Schedule, published by
the National Archives and Records Administration.
3. System manager(s) and address: This section is revised to read:
Freedom of Information Act Officer, Securities and Exchange Commission,
450 Fifth Street NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-34
SEC-34 is amended as follows:
1. System location: The reference to SEC Regional and Branch
Offices is removed and replaced by SEC Regional and District Offices.
2. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
3. Retention and disposal: This section is revised to read: These
records are maintained in-house at the Commission's central records
office for three years, then transferred to the Federal Records Center
for storage. They are destroyed after 25 years, in accordance with the
Commission's formal Records Control Schedule outlined at 17 CFR
200.80f.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-40
SEC-40 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. Retention and disposal: The reference to Office of Data
Processing is removed and replaced by Office of Information Technology.
3. System manager(s) and address: This section is revised to read:
Associate Executive Director (Finance), Securities and Exchange
Commission, 450 Fifth Street NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-41
SEC-41 is amended as follows:
1. System location: This section is revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
2. Retention and disposal: This section is revised to read: These
records are maintained in-house for three years, then transferred to
the Federal Records Center for storage in accordance with the
Commission's formal Records Control Schedule outlined at 17 CFR
200.80f. After thirty years, they are permanently retired to the
National Archives and Records Administration.
3. System manager(s) and address: This section is revised to read:
Secretary, Securities and Exchange Commission, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-42
SEC-42 is amended as follows:
1. Retention and disposal: The reference to the Office of
Information Systems Management is removed and replaced by the Office of
Information Technology.
2. System manager(s) and address: This section is revised to read:
Associate Executive Director, Office of Information Technology,
Securities and Exchange Commission, 450 Fifth Street NW., Washington,
DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-43
SEC-43 is amended as follows:
1. Retention and disposal: This section is revised to read: These
records are transferred to the Federal Records Center periodically for
storage. They are controlled by file number and disposed of in
accordance with the Commission's formal Records Control Schedule
outlined at 17 CFR 200.80f. Certain files that have been categorized as
permanent are retired to the National Archives and Records
Administration, after the designated storage period at the Federal
Records Center.
SEC-44
SEC-44 is amended as follows:
1. System manager(s) and address: This section is revised to read:
Chief Accountant, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
2. 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, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-45
SEC-45 is amended as follows:
1. System manager(s) and address: This section is revised to read:
General Counsel, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
2. 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, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-47
SEC-47 is amended as follows:
1. System name: The name of this system notice is revised to read:
Personnel Management Code of Conduct and Employee Performance Files.
2. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
3. System manager(s) and address: The reference to the Director,
Office of Human Resources Management is removed and replaced by
Associate Executive Director, Office of Administrative and Personnel
Management.
SEC-49
SEC-49 is amended as follows:
1. System name: The name of this system notice is revised to read:
Personnel Management Employment and Staffing Files.
2. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices. The reference to
Regional and Branch Office is removed and replaced by Regional and
District Office.
3. Categories of records in the system: The references to Office of
Personnel Management are removed and replaced by the Office of
Administrative and Personnel Management.
4. Safeguards: The reference to Office of Personnel is removed and
replaced by the Office of Administrative and Personnel Management. The
reference to Director or Assistant Director of the Office of Personnel
is removed and replaced by the Associate Executive Director, Office of
Administrative and Personnel Management. The reference to Regional
Administrators is removed and replaced by Regional Directors.
5. Retention and disposal: The reference to Office of Personnel
Management is removed and replaced by the Office of Administrative and
Personnel Management.
6. System manager(s) and address: This section is revised to read:
Associate Executive Director, Office of Administrative and Personnel
Management, Securities and Exchange Commission, 450 Fifth Street NW.,
Washington, DC 20549.
SEC-52
SEC-52 is amended as follows:
1. System name: The name of this system notice is revised to read:
Office of Public Affairs, Policy Evaluation and Research Records.
2. System manager(s) and address: This section is revised to read:
Director, Office of Public Affairs, Policy Evaluation and Research,
Securities and Exchange Commission, 450 Fifth Street NW., Washington,
DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-54
SEC-54 is amended as follows:
1. System name: The name of this system notice is revised to read:
Personnel Management Security Files.
2. System manager(s) and address: This section is revised to read:
Associate Executive Director, Office of Administrative and Personnel
Management, Securities and Exchange Commission, 450 Fifth Street NW.,
Washington, DC 20549.
SEC-56
SEC-56 is amended as follows:
1. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
2. System manager(s) and address: This section is revised to read:
1. Inquiries on Rule 2(e) matters concerning accountants: Director,
Division of Enforcement, Securities and Exchange Commission, 450 5th
Street, NW., Washington, DC 20549.
2. Inquiries on Rule 2(e) matters concerning attorneys: General
Counsel, Securities and Exchange Commissions, 450 Fifth Street NW.,
Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-57
SEC-57 is amended as follows:
1. System location: The reference to Regional and Branch Offices is
removed and replaced by Regional and District Offices.
2. System manager(s) and address: This section is revised to read:
Director, Division of Market Regulation, Securities and Exchange
Commission, 450 Fifth Street NW., Washington, DC 20549.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-98
SEC-98 is amended as follows:
1. System name: The name of this system notice is revised to read:
Administrative Proceeding Files.
2. System location: The section is revised to read: Securities and
Exchange Commission, 450 Fifth Street NW., Washington, DC 20549.
3. System manager(s) and address: This section is revised to read:
Records Officer, Securities and Exchange Commission, 450 Fifth Street
NW., Washington, DC 20549.
4. 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, 450 Fifth Street NW.,
Washington, DC 20549.
5. 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, 450 Fifth
Street NW., Washington, DC 20549.
SEC-100
SEC-100 is amended as follows:
1. System name: The name of this system notice is revised to read:
Automated Personnel Management Information System.
2. Safeguards: The references to the Office of Information Systems
Management and the Office of Data Processing are both removed and
replaced by the Office of Information Technology.
3. System manager(s) and address: The reference to the Director,
Office of Human Resources Management is removed and replaced by the
Associate Executive Director, Office of Administrative and Personnel
Management.
4. Notification and Record access procedures: Reference to the
Office of Human Resources Management is removed and replaced by the
Office of Administrative and Personnel Management.
SEC-102
SEC-102 is amended as follows:
1. Retention and disposal: This section is revised to read: These
records are maintained in-house until the investigation is officially
closed, then transferred to the Federal Records Center for storage.
They are controlled by assigned case number and destroyed after 25
years, in accordance with the Commission's formal Records Control
Schedule outlined at 17 CFR 200.80f.
2. System manager(s) and address: This section is revised to read:
Director, Division of Enforcement, Securities and Exchange Commission,
450 Fifth Street NW., Washington, DC 20549; Records Officer, Securities
and Exchange Commission, 450 Fifth Street NW., Washington, DC 20549;
Regional Director, Northeast Regional Office, 7 World Trade Center,
suite 1300, New York, N.Y. 10048; District Administrator, Boston
District Office, 73 Tremont Street, Suite 600, Boston, MA 02108-3912;
District Administrator, Philadelphia District Office, The Curtis
Center, 601 Walnut Street, suite 1005 East, Philadelphia, PA 19106-
3322; Regional Director, Southeast Regional Office, 1401 Brickell
Avenue, Suite 200, Miami, FL 33131; District Administrator, Atlanta
District Office, 3475 Lenox Road, NE., suite 1000, Atlanta, GA, 30326-
1232; Regional Director, Midwest Regional Office, Northwestern Atrium
Center, 500 W. Madison Street, suite 1400, Chicago, IL 60661-2511;
Regional Director, Central Regional Office, 1801 California Street,
Suite 4800, Denver, CO 80202-2648; District Administrator, Fort Worth
District Office, 801 Cherry Street, suite 1900, Fort Worth, TX 76102;
District Administrator, Salt Lake District Office, 500 Key Bank Tower,
50 South Main Street, Salt Lake City, UT 84144-0402; Regional Director,
Pacific Regional Office, 5670 Wilshire Boulevard, suite 1100, Los
Angeles, CA 90036-3648; and District Administrator, San Francisco
District Office, 44 Montgomery Street, 11th Floor, San Francisco, CA
94103-1735.
3. 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, 450 Fifth Street NW.,
Washington, DC 20549.
4. 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, 450 Fifth
Street NW., Washington, DC 20549.
Appendix A
Appendix A is revised to read as follows:
Appendix A: System Notice 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) Application 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) Administrative Audit System.
(10) Administrative Law Judge Assignments and Dispositions of
Administrative Proceedings.
(11) Administrative and Litigation Release System.
(12) (Reserved)
(13) Administrative Proceedings Records Cards.
(14) Applications for Relief From Disqualification Filed Under the
Securities Act of 1933 and the Commission Rules of Practice.
(15) (Reserved)
(16) Agency Correspondence Tracking System (ACTS).
(17) Correspondence Files Pertaining to Registered Broker-Dealers.
(18) Correspondence Files Pertaining to Registered Investment
Advisers.
(19) Correspondence Files Pertaining to Registered Investment
Companies.
(20) (Reserved)
(21) Bankruptcy Act Records.
(22) Division of Corporation Finance and Support Office Working
Files.
(23) Division of Corporation Finance Index for Filings on Schedule
13D and Filings under Regulations A and B.
(24) (Reserved)
(25) (Reserved)
(26) (Reserved)
(27) Division of Investment Management Correspondence and Memoranda
Files.
(28) (Reserved)
(29) (Reserved)
(30) Equal Employment Opportunity Complaints.
(31) Executive/Congressional Personnel Referrals.
(32) Freedom of Information Act Requests.
(33) (Reserved)
(34) Hearings, Proceedings and Studies.
(35) (Reserved)
(36) (Reserved)
(37) (Reserved)
(38) (Reserved)
(39) (Reserved)
(40) Staff Time and Activity Tracking System (STATS).
(41) Minutes Regarding Action Taken by the Commission.
(42) Name-Relationship Search System (NRS).
(43) No-action and Interpretative Letters.
(44) Office of the Chief Accountant Working Files.
(45) Office of the General Counsel Work Files.
(46) Office of the General Counsel (Adjudication) Working Files.
(47) Personnel Management Code of Conduct and Employee Performance
Files.
(48) (Reserved)
(49) Personnel Management Employment and Staffing Files.
(50) (Reserved)
(51) Personnel Management Training Files.
(52) Office of Public Affairs Records.
(53) Pay and Leave System.
(54) Personnel Management Security Files.
(55) (Reserved)
(56) Rule 2(e) of the Commission's Rules of Practice--Appearing or
Practicing Before the Commission.
(57) SECO Files.
(58) Securities Violations Records and Bulletin.
(59) (Reserved)
(60) (Reserved)
(61) (Reserved)
(62) (Reserved)
(63) (Reserved)
(64) (Reserved)
(65) (Reserved)
(66) (Reserved)
(67) (Reserved)
(68) (Reserved)
(69) (Reserved)
(70) (Reserved)
(71) (Reserved)
(72) (Reserved)
(73) (Reserved)
(74) (Reserved)
(75) (Reserved)
(76) (Reserved)
(77) (Reserved)
(78) (Reserved)
(79) (Reserved)
(80) (Reserved)
(81) (Reserved)
(82) (Reserved)
(83) (Reserved)
(84) (Reserved)
(85) (Reserved)
(86) (Reserved)
(87) (Reserved)
(88) (Reserved)
(89) (Reserved)
(90) (Reserved)
(91) (Reserved)
(92) (Reserved)
(93) (Reserved)
(94) (Reserved)
(95) (Reserved)
(96) (Reserved)
(97) (Reserved)
(98) Administrative Proceeding Files.
(99) (Reserved)
(100) Automated Personnel Management Information System.
(101) (Reserved)
(102) Enforcement Files.
(103) Office of Inspector General Investigative Files.
Dated: May 23, 1994.
By the Commission.
Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 94-12942 Filed 5-26-94; 8:45 am]
BILLING CODE 8010-01-P
