General Counsel, Securities and Exchange Commission, 100 F Street
NE, Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title 15, United States Code, section 77s, 77sss, 78d (b), 78w,
80a-37, and 80b-11.

PURPOSE(S) OF THE SYSTEM:
    To determine eligibility for, and the amount of, the child care
tuition subsidy for lower income SEC employees.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Present and former SEC employees and their children and child care
providers.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records contain (1) employee's name, social security number,
telephone numbers, address, grade, gross annual salary, gross family
income that was reported on the latest Federal income tax return, and
number of dependent children; (2) employee's child's name, date of
birth, social security number, weekly tuition cost, amount of child
care tuition subsidy from state or local government; and (3) employee's
child care provider's name, address, telephone number, tax
identification number, and license number.

RECORD SOURCE CATEGORIES:
    Applications for child care subsidy and supporting records, which
are voluntarily submitted by 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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records, (2) the SEC has determined that as a result of the suspected
or confirmed breach there is a risk of harm to individuals, the SEC
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) 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 breach or to 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 General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    10. To any Federal, state, or local government authority
implementing child care subsidy programs or investigating a violation
or potential violation of a statute, rule, regulation, or order.
    11. To the Office of Personnel Management to be used for evaluating
the child care subsidy program.
    12. 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.
    13. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    These records are retrievable by the employee's name or social
security number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
fIrewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
FOIA/Privacy Act Officer, Securities and Exchange Commission, 100 F
Street NE, Washington, DC 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Under 5 U.S.C. 552a(k)(2), this system of records is exempted from
the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304,
and 200.306, insofar as it contains investigatory materials compiled
for law enforcement purposes. This exemption is contained in 17 CFR
200.312(a)(5).

HISTORY:
    This SORN was last published in full in the Federal Register at 40
FR 39253 (August 27, 1975). Subsequent notices of revision can be found
at the following citations:
    --41 FR 5318 (February 5, 1976)
    --41 FR 11631 (March 19, 1976)
    --41 FR 41550 (September 22, 1976)
    --42 FR 36333 (July 14, 1977)
    --46 FR 63439 (December 31, 1981)
    --57 FR 14592 (April 21, 1992)
    --59 FR 27626 (May 27, 1994)
    --62 FR 47884 (September 11, 1997)
    --65 FR 49037 (August 10, 2000)
    --77 FR 65913 (October 31, 2012)

SYSTEM NAME AND NUMBER:
SEC-42:
    Enforcement Files.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549. Files may also be maintained in the Commission's Regional
Offices that conducted an investigation or litigation, or at a records
management company under contract with the Commission. Closed
investigatory files are stored at a Federal records center.

SYSTEM MANAGER(S):
    Director, Division of Enforcement, Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549-0801; Records
Officer, Office of Records Management Services, Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549; 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, Philadelphia, PA 19106-1532; Miami Regional Office, Regional
Director, 801 Brickell Ave., Suite 1800, Miami, FL 33131, Atlanta
Regional Office, Regional Director, 3475 Lenox Road NE, Suite 1000,
Atlanta, GA 30326-1232; Chicago Regional Office, Regional Director, 175
W. Jackson Boulevard, Suite 900, Chicago, IL 60604; 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;
Salt Lake Regional Office, Regional Director, 15 W. South Temple
Street, Suite 1800, Salt Lake City, UT 84101; 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, and 80b-9.17 CFR 202.5.

PURPOSE(S) OF THE SYSTEM:
    The records are maintained for purposes of the Commission's
investigations and actions to enforce the Federal securities laws.
Additionally, the information in the system is used in conjunction with
the collection of amounts ordered to be paid in enforcement actions, a
function that is a necessary component of litigation.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Records are maintained on persons who have been involved in
Commission investigations or litigation, or in activities which
violated or may have violated Federal, state or foreign laws relating
to transactions in securities, the conduct of securities business or
investment advisory activities, and banking or other financial
activities.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records contain names and addresses of persons involved in
Commission investigations or litigation. Also, correspondence relevant
to the matter, internal staff memoranda, Commission minutes and
Commission orders, copies of subpoenas issued in the course of the
matter, affidavits, transcripts of testimony and exhibits thereto,
copies of pleadings and exhibits in related private or governmental
actions, documents and other evidence obtained in the course of the
matter, computerized records, working papers of the staff and other
documents and records relating to the matter, opening reports, progress
reports and closing reports, and miscellaneous records relating to
investigations or litigation.

RECORD SOURCE CATEGORIES:
    Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
banks, corporations, or other entities; self-regulatory organizations;
the Postal Inspection Service, the Department of Justice, state
securities commissions, other Federal, state, or local bodies and

law enforcement agencies or foreign governmental authorities; public
sources, i.e., libraries, newspapers, television, radio, court records,
filings with Federal, state, and local bodies; filings made with the
SEC pursuant to law; electronic information sources; other offices
within the Commission; documents, litigation, transcripts of testimony,
evidence introduced into court, orders entered by a court and
correspondence relating to litigation; pleadings in administrative
proceedings, transcripts of testimony, documents, including evidence
entered in such proceedings, and miscellaneous other sources.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records,[middot](2) the SEC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the SEC (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) 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 breach or to 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. To national securities exchanges and national securities
associations that are registered with the SEC, the Municipal Securities
Rulemaking Board; the Securities Investor Protection Corporation; the
Public Company Accounting Oversight Board; the Federal banking
authorities, including, but not limited to, the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation; state securities regulatory
agencies or organizations; or regulatory authorities of a foreign
government in connection with their regulatory or enforcement
responsibilities.
    4. By SEC personnel for purposes of investigating possible
violations of, or to conduct investigations authorized by, the Federal
securities laws.
    5. 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.
    6. In connection with proceedings by the Commission pursuant to
Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
    7. To a bar association, state accountancy board, or other Federal,
state, local, or foreign licensing or oversight authority; or
professional association or self-regulatory authority to the extent
that it performs similar functions (including the Public Company
Accounting Oversight Board) for investigations or possible disciplinary
action.
    8. 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.
    9. To a Federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning the hiring
or retention of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.
    10. 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.
    11. To any trustee, receiver, master, special counsel, or other
individual or entity that is appointed by a court of competent
jurisdiction, or as a result of an agreement between the parties in
connection with litigation or administrative proceedings involving
allegations of violations of the Federal securities laws (as defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)) or pursuant to the Commission's Rules of Practice, 17 CFR
201.100 through 900 or the Commission's Rules of Fair Fund and
Disgorgement Plans, 17 CFR 201.1100 through 1106, or otherwise, where
such trustee, receiver, master, special counsel, or other individual or
entity is specifically designated to perform particular functions with
respect to, or as a result of, the pending action or proceeding or in
connection with the administration and enforcement by the Commission of
the Federal securities laws or the Commission's Rules of Practice or
the Rules of Fair Fund and Disgorgement Plans.
    12. 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.
    13. 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.
    14. In reports published by the Commission pursuant to authority
granted in the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), which authority shall include, but not be limited to,
section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(a)).
    15. 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.
    16. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities

Exchange Act of 1934, 15 U.S.C. 78c(a)(47)), in the preparation or
conduct of enforcement actions brought by the Commission for such
violations, or otherwise in connection with the Commission's
enforcement or regulatory functions under the Federal securities laws.
    17. 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.
    18. To members of Congress, the press, and the public in response
to inquiries relating to particular Registrants and their activities,
and other matters under the Commission's jurisdiction.
    19. To prepare and publish information relating to violations of
the Federal securities laws as provided in 15 U.S.C. 78c(a)(47)), as
amended.
    20. To respond to subpoenas in any litigation or other proceeding.
    21. To a trustee in bankruptcy.
    22. To any governmental agency, governmental or private collection
agent, consumer reporting agency or commercial reporting agency,
governmental or private employer of a debtor, or any other person, for
collection, including collection by administrative offset, Federal
salary offset, tax refund offset, or administrative wage garnishment,
of amounts owed as a result of Commission civil or administrative
proceedings.
    23. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    When the Commission seeks to collect a debt arising from a civil
action or administrative proceeding, it may disclose the following
information to a consumer reporting agency: (i) Information necessary
to establish the identity of the debtor, including name, address and
taxpayer identification number or social security number; (ii) the
amount, status, and history of the debt; and (iii) the fact that the
debt arose from a Commission action or proceeding to enforce the
Federal securities laws.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS
    The records are retrieved by the name under which the investigation
is conducted or administrative or judicial litigation is filed. Access
to information about an individual may be obtained through the
Commission's Name-Relationship Search Index system by the name of the
individual. Information concerning an individual may also be obtained
by reference to computer-based indices maintained by the Division of
Enforcement.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Under 5 U.S.C. 552a(k)(2), this system of records is exempted from
the following provisions of the Privacy Act, 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f) and 17 CFR 200.303, 200.304,
and 200.306, insofar as it contains investigatory materials compiled
for law enforcement purposes. This exemption is contained in 17 CFR
200.312(a)(1).

HISTORY:
    This SORN was last published in full in the Federal Register at 40
FR 39253 (August 27, 1975). Subsequent notices of revision can be found
at the following citations:
    --41 FR 5318 (February 5, 1976)
    --41 FR 11631 (March 19, 1976)
    --41 FR 41550 (September 22, 1976)
    --42 FR 36333 (July 14, 1977)
    --46 FR 63439 (December 31, 1981)
    --59 FR 27626 (May 27, 1994)
    --62 FR 47884 (September 11, 1997)
    --67 FR 48497 (July 24, 2002)
    --76 FR 30213 (May 24, 2011)

SYSTEM NAME AND NUMBER:
SEC-43: Office of Inspector General Working Files.
SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office of the Inspector General, Securities and Exchange Commission
(SEC), 100 F Street NE, Washington, DC 20549. Closed files may be
stored at a Federal records center in accordance with the SEC's records
retention schedule.

SYSTEM MANAGER(S):
    Inspector General, Office of Inspector General, Securities and
Exchange Commission, 100 F Street NE, Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Inspector General Act of 1978, as amended, Pub. L. 95-452, 5 U.S.C.
App. 6; Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub.
L. 111-203, 15 U.S.C. 78d-4.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system of records is to enable the OIG to
effectively and efficiently conduct investigations, audits, and
inquiries relating to the programs and operations of the SEC; to allow
OIG staff to provide legal advice and assistance to the Inspector
General with respect to OIG investigations, audits, inquiries, actions,
and agency operations; to represent the OIG in judicial and
administrative proceedings in which the OIG or its personnel are
involved as a party or a witness; to manage, track and report on
matters and caseloads handled by OIG staff; to respond to
communications and correspondence, as authorized by the Inspector
General Act of 1978, as amended and the Dodd-Frank Wall Street Reform
and Consumer Protection Act.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    This system of records contains records on individuals, including
subjects, complainants, and witnesses, in connection with the SEC
Office of Inspector General's (OIG) investigations, audits, or
inquiries relating to programs and operations of the SEC. This system
of records also includes records on individuals who are involved in
litigation or administrative proceedings with the OIG, OIG employees
whose conduct or performance raises concern, and individuals who
correspond with the OIG such as members of Congress and their staff,
members of the public and SEC employees who make suggestions through
the OIG Employee Suggestion Hotline.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include: Case management systems that contain unique
control numbers, descriptive information, and supporting documents for
OIG matters; incoming complaints and complaint logs; preliminary
inquiry files and indexes; correspondence; internal staff memoranda and
legal analysis; copies of all subpoenas issued during investigations;
subpoena logs; affidavits, declarations and statements from witnesses;
transcripts of interviews conducted or testimony taken and accompanying
exhibits; documents and records obtained during investigations, audits
and administrative litigation; working papers of the staff;
investigative plans, operation plans, status reports, reports of
investigation, and closing memoranda; information and documents
relating to grand jury proceedings; arrest and search warrant
affidavits; information and documents relating to criminal, civil, and
administrative actions; information and documents received from other
law enforcement entities; personnel information for witnesses,
subjects, and OIG staff; investigative peer review files; Congressional
correspondence; SEC employee suggestions; and other internal and
external communications.

RECORD SOURCE CATEGORIES:
    Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the SEC;
records of other entities; Federal, foreign, state or local bodies and
law enforcement agencies; documents and correspondence relating to
litigation and administrative proceedings; public sources; and
miscellaneous other sources.

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. 552 a(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 OIG
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
OIG 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 or OIG's efforts to respond to the suspected or confirmed
compromise and prevent, minimize, or remedy such harm.
    2. To another Federal agency or Federal entity, when the OIG
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach; or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal government, or national security resulting from a suspected
or confirmed breach.
    3. Where there is an indication of a violation or a potential
violation of law, whether civil, criminal or regulatory in nature, to
the appropriate agency, whether Federal, foreign, state, or local, or
to a securities self-regulatory organization, charged with enforcing or
implementing the statute, or rule, regulation or order.
    4. To Federal, foreign, state, or local authorities in order to
obtain information or records relevant to an OIG investigation or
inquiry.
    5. To non-governmental parties where those parties may have
information the OIG seeks to obtain in connection with an investigation
or inquiry.
    6. To respond to subpoenas in any litigation or other proceeding.
    7. In connection with proceedings by the Commission pursuant to
Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
    8. To a bar association, state accountancy board, or other Federal,
state, local, or foreign licensing or oversight authority; or
professional association or self-regulatory authority to the extent
that it performs similar functions (including the Public Company
Accounting Oversight Board) for investigations or possible disciplinary
action.
    9. 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.
    10. To a Federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning the hiring
or retention of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.

    11. 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.
    12. To inform complainants, victims, and witnesses of the results
of an investigation or inquiry.
    13. To any persons during the course of any inquiry, audit, 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.
    14. 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.
    15. To qualified individuals or organizations in connection with
the performance of a peer review or other study of the OIG's audit or
investigative functions.
    16. To a Federal agency responsible for considering debarment or
suspension action if the record would be relevant to such action.
    17. To the Department of Justice for the purpose of obtaining its
advice on Freedom of Information Act matters.
    18. To a Congressional office in response to an inquiry from the
Congressional office.
    19. To the Office of Government Ethics (OGE) to comply with agency
reporting requirements established by OGE in 5 CFR 2638, subpart F.
    20. To a Federal, state, local, foreign or administrative body, or
before an arbitrator, when the SEC is a party to or has an interest in
litigation or other legal proceedings, including to legal counsel
representing the SEC or SEC employees, or other actual or potential
parties, in connection with litigation, discovery or settlement
discussions.
    21. To an authorized investigator, administrative judge, or
complaints examiner appointed by the Equal Employment Opportunity
Commission when requested in connection with the investigation of a
complaint of discrimination filed against the SEC under 29 CFR part
1614.
    22. To the Merit Systems Protection Board or Office of the Special
Counsel for the purpose of litigation, including administrative
proceedings, appeals, special studies, investigations of alleged or
possible prohibited personnel practices, and such other functions as
may be authorized by law.
    23. To the news media and the public when there exists a legitimate
public interest (e.g., to provide information on events in the criminal
process, such as an indictment).
    24. To the Council of the Inspectors General on Integrity and
Efficiency, another Federal Office of Inspector General, or other
Federal law enforcement office in connection with an allegation of
wrongdoing by the Inspector General or OIG staff members.
    25. To a contractor when there has been an SEC or OIG investigation
or inquiry into the conduct or performance of the contractor's
employees.
    26. In reports published by the OIG pursuant to its authority
granted in the Inspector General Act of 1978, as amended, Public Law
95-452, 5 U.S.C. App. 6, and Dodd-Frank Wall Street Reform and Consumer
Protection Act, Public Law 111-203, 15 U.S.C Sec.  78d-4.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets or are maintained in secure
off-site storage.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The records may be retrieved by the name of the SEC employee,
complainant, subject, witness, victim or member of the public; the OIG
staff name for the audit, investigation or inquiry; or other indexed
information.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A). Records are maintained in a secure, password-protected
electronic system that will utilize commensurate safeguards that may
include: Firewalls, intrusion detection and prevention systems, and
role-based access controls. Additional safeguards will vary by program.
All records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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.

CONTESTING RECORD PROCEDURES:
    See record access procedures above.

NOTIFICATION PROCEDURES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(j)(2) and 17 CFR 200.313(a), this system
of records is exempt from the provisions of the Privacy Act of 1974, 5
U.S.C. 552a, except subsections (b), (c)(1) and (2), (e)(4)(A) through
(F), (e)(6), (7), (9), (10), and (11), and (i), and 17 CFR 200.303,
200.403, 200.306, 200.307, 200.308,

200.309, and 200.310, insofar as the system contains information
pertaining to criminal law enforcement investigations.
    Pursuant to 5 U.S.C. 552a(k)(2) and 17 CFR 200.313(b), this system
of records is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f), and 17 CFR 200.303, 200.304, and 200.306,
insofar as the system contains investigatory materials compiled for law
enforcement purposes.

HISTORY:
    This SORN was last published in full in the Federal Register at 79
FR 30661 (May 28, 2014).

SYSTEM NAME AND NUMBER:
SEC-45:
    Mass Transportation Subsidy Program.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission (SEC), Operations Center, Office
of Human Resources, 100 F Street NE, Washington, DC 20549. Records are
also maintained at SEC Regional Offices. U.S. Department of
Transportation, 1200 New Jersey Avenue SE, Washington, DC 20590.

SYSTEM MANAGER(S):
    Assistant Director, Office of Human Resources, 100 F Street NE,
Washington, DC 20549-2465.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Executive Order: 12191; Pub. L. 101-509, Section 629; Pub. L. 103-
172; 26 CFR 1.132-6; and 42 U.S.C. 13201 et seq.

PURPOSE(S) OF THE SYSTEM:
    To encourage employees to use public transportation as a means to
conserve petroleum, reduce traffic congestion, and improve air quality.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    SEC employees who participate in the Mass Transportation Subsidy
Program.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include the employee's name, address, office telephone
number, mode of transportation, transportation costs, date of entry
into transit program, last four digits of social security number,
organization, SmartTrip number, and date of annual certification.

RECORD SOURCE CATEGORIES:
    Records include SEC Form 2445, Application to Transit Subsidy
Program, SEC Form 2344, Return/Termination of Public Transportation
Subsidy; Employee Certification for Public Transportation Subsidy;
Receipt for Public Transportation Subsidy; SEC Form 2318, Disbursing
Agents, Voucher; and SEC Form 2407, Authorization for Third-Party
Receipt of Public Transportation Subsidy.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records,[middot](2) the SEC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the SEC (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) 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 breach or to 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 General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    10. To the appropriate personnel for periodic review of
revalidation for subsidy.
    11. To the Office of Inspector General for investigating
allegations of abuse.
    12. 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.
    13. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained and stored in an electronic format.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by name, last four digits of SSN or assigned
division within the SEC.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 63
FR 37423 (July 10, 1998). Subsequent notices of revision can be found
at the following citations:

SYSTEM NAME AND NUMBER:
SEC-46:
    Facilities Access Badge System.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
SYSTEM MANAGER(S):
    Securities and Exchange Commission, Office of Security Services,
Office of Support Operations, 100 F Street NE, Washington, DC 20549-
1627.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and Executive Order 13231 of October 16, 2001, on
Critical Infrastructure Protection ; the Federal Property and
Administrative Services Act of 1949, 40 U.S.C. 101 et seq.; Homeland
Security Presidential Directive 12 (HSPD-12), Policy for a Common
Identification Standard for Federal Employees and Contractors, August
27, 2004.

PURPOSE(S) OF THE SYSTEM:
    Records are for physical and operational security to identify
authorized personnel permitted unescorted access to Commission
facilities. It is also used to issue Special Credentials used as a
physical and operational security measure to identify SEC employees in
the performance of their duties. Records are for physical and
operational security and can only be used for purposes compatible with
the purpose for which it was collected as cited in the Privacy Act of
1974, 5 U.S.C. 552(a)7.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Commission employees, members of the press, contractors,
volunteers, tenants, interns, consultants, and employees of other
Federal agencies who require access to Commission facilities for
extended periods of time.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include the Government Personal Identity Verification (PIV)
Card. The SEC system of records may contain the following: Name, date
of birth, sex, social security number, citizenship, weight, height,
color of hair and eyes, photograph, employee record number, card chip
number, authorized access rights, date of issuance, date of return,
date background investigation completed, Headquarters and Field Office
Access Card (name, date of birth, weight, height, color of hair and
eyes, photograph, employee record number, card chip number, authorized
access rights, date of issuance, and date of expiration); Special
Credential (signature of authorizing official, photograph, control
number, date of issuance and date of expiration).

RECORD SOURCE CATEGORIES:
    The issuing official or person issued the badge.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records,[middot](2) the SEC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the SEC (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.
    2. To other Federal, state, local, or tribal law enforcement
agencies; to assist in or coordinate 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 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, technical, 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.
    5. 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. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), in the preparation or conduct of enforcement actions
brought by the Commission for such violations, or otherwise in
connection with the Commission's enforcement or regulatory functions
under the Federal securities laws.
    7. 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.
    8. To respond to subpoenas in any litigation or other proceeding.
    9. To the Office of Inspector General or Office of Human Resources
for investigative purposes.
    10. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Electronic records may be retrieved by the employee's name and
identification number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See record access procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 63
FR 37423 (July 10, 1998). Subsequent notices of revision can be found
at the following citations:
    --72 FR 2036 (January 17, 2007)

SYSTEM NAME AND NUMBER:
SEC-48:
    Fitness Center Membership, Payment, and Fitness Records SEC
Employee's Health and Fitness Program Records.

SECURITY CLASSIFICATION:
    Unclassified.

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.

SYSTEM MANAGER(S):
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7901, et seq.

PURPOSE(S) OF THE SYSTEM:
    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.

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 pre-screening questions, membership number, fee and payment
information (including electronic debit information), and fitness
progress charts.

RECORD SOURCE CATEGORIES:
    All information is provided by Fitness Center members.

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 (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records, (2) the SEC has determined that as a result of the suspected
or confirmed breach there is a risk of harm to individuals, the SEC
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) 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 breach or to 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.
    7. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records are retrieved by the individual's name or membership
number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record access procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 64
FR 19840 (April 22, 1999). Subsequent notices of revision can be found
at the following citations:
    --77 FR 16569 (March 21, 2012)

SYSTEM NAME AND NUMBER:
SEC-51:
    Continuity Support Center (CSC).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549.

SYSTEM MANAGER(S):
    Executive Director, Office of the Executive Director, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301, Executive Order 12656 (Nov. 18, 1988), Assignment of
Emergency Preparedness Responsibilities; National Security Presidential
Directive 51/Homeland Security Presidential Directive 20; National
Continuity Policy, May 9, 2007.

PURPOSE(S) OF THE SYSTEM:
    1. To maintain emergency contact information for current members
and employees of the Commission for use in developing and maintaining
emergency contingency operations plans, such as a formal continuity of
operations (COOP) plan, for the Commission.
    2. To provide alert and notification, determine team and task
assignments, develop and maintain an emergency contact system for
general emergency preparedness programs and specific situations
(including threat alerts, weather related emergencies or other critical
situations).
    3. To activate COOP for Commission wide response to threat alerts
issued by the Department of Homeland Security (DHS).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Members and employees of the Commission and contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name, job title, organizational code number, work and home
addresses, work and personal electronic mail addresses, work, home, and
cellular telephone numbers; pager numbers and Blackberry PIN numbers.

RECORD SOURCE CATEGORIES:
    Records are obtained from the position control system and from the
individual.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records, (2) the SEC has determined that as a result of the suspected
or confirmed breach there is a risk of harm to individuals, the SEC
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) 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 breach or to 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 General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    10. To any Federal government authority for the purpose of
coordinating and reviewing agency continuity of operations plans or
emergency contingency plans developed for responding to Department of
Homeland Security threat alerts.
    11. 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.
    12. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    These records are retrieved by individual's names, or by the
categories listed above under ``Categories of Records in the System.''

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

RECORD ACCESS PROCEDURES:
    Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of these records may be directed
to the FOIA/PA Officer, Securities and Exchange Commission, 100 F
Street NE, Washington, DC 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record access procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 68
FR 23168 (April 30, 2003).

SYSTEM NAME AND NUMBER:
SEC-52:
    Visitor Badge and Employee Day Pass System.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, Security Branch, Office of
Administrative Services, 100 F Street NE, Washington, DC 20549-1627.

SYSTEM MANAGER(S):
    Chief of Security Branch, Office of Administrative Services,
Security Branch, Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549-1627.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301 and Executive Order 13231 of October 16, 2001 on
Critical Infrastructure Protection; Homeland Security Presidential
Directive 12 (HSPD-12), Policy for a Common Identification Standard for
Federal Employees and Contractors, August 27, 2004.

PURPOSE(S) OF THE SYSTEM:
    This system is primarily designed as a physical and operational
security system to control access to Commission facilities by visitors
and representatives from other Federal agencies. It is also used to
issue temporary badges for Commission staff or contractors who are not
in possession of their badge and are authorized to enter SEC
facilities. Records are for physical and operational security and can
only be used for purposes compatible with the purpose for which it was
collected as cited in the Privacy Act of 1974, 5 U.S.C. 552(a)7.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Authorized visitors and Commission employees who access Commission
facilities are covered by this system.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may include the name, photograph, country represented the
number of the printed barcode issued for each badge, visitor category,
the location, date, and time of entry to the secure Commission
facility. Records may include the following information from scanned
driver's licenses and passports: First and last name. Further
information contained within the system will be the name of the person
being visited and the reason for the visit. The system may maintain
check in and check out times, current status of visitor, and a barcode
assigned by the system software for each visitor record.

RECORD SOURCE CATEGORIES:
    Information is provided by the visitor seeking access to Commission
facilities to meet with Commission employees or contractors, by
Commission employees who pre-register visitors, and by Commission
employees or contractors with badges, who on that occasion do not have
their access badge and seek access to SEC facilities.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records,[middot](2) the SEC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the SEC (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) 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 breach or to prevent, minimize, or remedy such harm.
    2. To other Federal, state, local, or tribal law enforcement
agencies; to assist in or coordinate 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 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.
    5. 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,
technical, 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.
    6. 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.
    7. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), in the preparation or conduct of enforcement actions
brought by the Commission for such violations, or otherwise in
connection with the Commission's enforcement or regulatory functions
under the Federal securities laws.
    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 respond to subpoenas in any litigation or other proceeding.
    10. To the Office of Inspector General or the Office of Human
Resources for investigative purposes.
    11. Records may be used by staff of the Commission's Security
Branch, the Office of Human Resources, and the Office of the Inspector
General in routine reports or investigations to review access to SEC
facilities and to assess compliance with established security
procedures and policies.
    12. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the Individual's name, person visited,
date of visit and/or barcode number (as printed in the form of a
barcode on the badge).

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 71
FR 3907 (January 24, 2006).

SYSTEM NAME AND NUMBER:
SEC-54:
    Photographic Files.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549.

SYSTEM MANAGER(S):
    Branch Chief, Library Services, Securities and Exchange Commission,
Library, 100 F Street NE, Room 1550, Washington, DC 20549-2465.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301, Departmental Regulations.

PURPOSE(S) OF THE SYSTEM:
    1. To digitize SEC photographic files in support of the
preservation of these materials.
    2. To be used for reproduction by Commission staff organizing such
events as awards ceremonies, farewell ceremonies and receptions,
Commission anniversary ceremonies and receptions, and Commission
training and educational programs.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Commission staff, visitors from other Federal agencies and members
of the public.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The records in the system include photographic prints, negatives,
and slides. Records may also include digital photographs, as well as
digitized images of photographic prints, negatives, and slides.
Indexing data, including such data elements as date, event, and
personal name and title, will be created for these materials.

RECORD SOURCE CATEGORIES:
    Photographic files are provided to the Library for inclusion in the
Library's collection on an ongoing basis. Donors include Commission
employees who have photographed an event or individuals donating their
photographic collections to the Library for the purposes of
preservation and access. Indexing information is derived from
information recorded on photographs, or from Commission staff or other

individuals who have knowledge of the event and individuals
photographed.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records, (2) the SEC has determined that as a result of the suspected
or confirmed breach there is a risk of harm to individuals, the SEC
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) 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 breach or to 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. To national securities exchanges and national securities
associations that are registered with the SEC, the Municipal Securities
Rulemaking Board; the Securities Investor Protection Corporation; the
Public Company Accounting Oversight Board; the Federal banking
authorities, including, but not limited to, the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation; state securities regulatory
agencies or organizations; or regulatory authorities of a foreign
government in connection with their regulatory or enforcement
responsibilities.
    4. 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.
    5. To a Federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning the hiring
or retention of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.
    6. 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.
    7. 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.
    8. 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.
    9. 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.
    10. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), in the preparation or conduct of enforcement actions
brought by the Commission for such violations, or otherwise in
connection with the Commission's enforcement or regulatory functions
under the Federal securities laws.
    11. 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.
    12. To respond to subpoenas in any litigation or other proceeding.
    13. For distribution and presentation for news, public relations
and community affairs purposes.
    14. In support of research activities conducted by staff of the
Commission and other Federal agencies, as well as members of the
public.
    15. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by such information as date of event, name
of event, and/or name(s) of individual(s), where such information is
available.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National

Institute of Standards and Technology (NIST) Security Standards from
Access Control to Data Encryption and Security Assessment &
Authorization (SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record access procedures above.

NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 71
FR 63810 (October 31, 2006).

SYSTEM NAME AND NUMBER:
SEC-55:
    Information Pertaining or Relevant to SEC Registrants and Their
Activities

SECURITY CLASSIFICATION:
    Unclassified.

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

SYSTEM MANAGER(S):
    Chief Information Officer, Office of Information Technology,
Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549-2465.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 78a et seq., 80a-1 et seq., and 80b-1 et seq.

PURPOSE(S) OF THE SYSTEM:
    1. For use by authorized SEC personnel in connection with their
official functions including, but not limited to, conducting
examinations for compliance with Federal securities laws,
investigations into possible violations of the Federal securities laws,
and other matters relating to the SEC's regulatory and law enforcement
functions.
    2. To maintain continuity within the SEC as to each Regulated
Entity and to provide SEC staff with the background and results of
earlier examinations of Regulated Entities, as well as an insight into
current industry practices or possible regulatory compliance issues.
    3. To conduct lawful relational searches or analysis or filtering
of data in matters relating to the SEC's examination, regulatory or law
enforcement functions.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Records concern individuals associated with entities or persons
that are regulated by the SEC to include broker-dealers, investment
advisers, investment companies, self-regulatory organizations, clearing
agencies, nationally recognized statistical rating organizations,
transfer agents, municipal securities dealers, municipal advisors,
security-based swap dealers, security-based swap data repositories,
major security-based swap participants, security-based swap execution
facilities, and funding portals (individually, a ``Regulated Entity;''
collectively, ``Regulated Entities''). Records may also concern
persons, directly or indirectly, with whom Regulated Entities or their
affiliates have client relations or business arrangements.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may contain Regulated Entities' and their associated
persons' names, addresses, telephone numbers and email addresses.
Additionally, there may be information relating to the business
activities and transactions of Regulated Entities and their associated
persons, as well as their compliance with provisions of the Federal
securities laws and with other applicable rules.

RECORD SOURCE CATEGORIES:
    Record sources include filings made by Regulated Entities;
information obtained through examinations or investigations of
Regulated Entities and their activities; information contained in SEC
correspondence with Regulated Entities; information received from other
Federal, state, local, foreign or other regulatory organizations or law
enforcement agencies; complaint information received by the SEC via
letters, telephone calls, emails or any other form of communication;
and data obtained from third-party sources.

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 (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records; (2) the SEC has determined that as a result of the suspected
or confirmed breach there is a risk of harm to individuals, the SEC
(including its information systems, programs, and operations), the
Federal Government, or national security; and (3) 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 breach or to 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. To national securities exchanges and national securities
associations that are registered with the SEC, the Municipal Securities
Rulemaking Board; the Securities Investor Protection Corporation; the
Public Company Accounting Oversight Board; the Federal banking
authorities, including, but not limited to, the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation; state securities regulatory
agencies or organizations; or regulatory authorities of a foreign
government in connection with their regulatory or enforcement
responsibilities.
    4. By SEC personnel for purposes of investigating possible
violations of, or to conduct.
    5. 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.
    6. In connection with proceedings by the Commission pursuant to
Rule 102(e) of its Rules of Practice, 17 CFR 201.102(e).
    7. To a bar association, state accountancy board, or other Federal,
state, local, or foreign licensing or oversight authority; or
professional association or self-regulatory authority to the extent
that it performs similar functions (including the Public Company
Accounting Oversight Board) for investigations or possible disciplinary
action.
    8. 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.
    9. To a Federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning the hiring
or retention of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.
    10. 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.
    11. To any trustee, receiver, master, special counsel, or other
individual or entity that is appointed by a court of competent
jurisdiction, or as a result of an agreement between the parties in
connection with litigation or administrative proceedings involving
allegations of violations of the Federal securities laws (as defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)) or pursuant to the Commission's Rules of Practice, 17 CFR
201.100 through 900 or the Commission's Rules of Fair Fund and
Disgorgement Plans, 17 CFR 201.1100 through 1106, or otherwise, where
such trustee, receiver, master, special counsel, or other individual or
entity is specifically designated to perform particular functions with
respect to, or as a result of, the pending action or proceeding or in
connection with the administration and enforcement by the Commission of
the Federal securities laws or the Commission's Rules of Practice or
the Rules of Fair Fund and Disgorgement Plans.
    12. 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.
    13. 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.
    14. In reports published by the Commission pursuant to authority
granted in the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), which authority shall include, but not be limited to,
section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(a)).
    15. 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.
    16. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), in the preparation or conduct of enforcement actions
brought by the Commission for such violations, or otherwise in
connection with the Commission's enforcement or regulatory functions
under the Federal securities laws.
    17. 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.
    18. To members of Congress, the press, and the public in response
to inquiries relating to particular Registrants and their activities,
and other matters under the Commission's jurisdiction.
    19. To prepare and publish information relating to violations of
the Federal securities laws as provided in 15 U.S.C. 78c(a)(47)), as
amended.
    20. To respond to subpoenas in any litigation or other proceeding.
    21. To a trustee in bankruptcy.
    22. To any governmental agency, governmental or private collection
agent, consumer reporting agency or commercial reporting agency,
governmental or private employer of a debtor, or any other person, for
collection, including collection by administrative offset, Federal
salary offset, tax refund offset, or administrative wage garnishment,
of amounts owed as a result of Commission civil or administrative
proceedings.
    23. To members of Congress, the Government Accountability Office,
or others charged with monitoring the work of the Commission or
conducting records management inspections.
    24. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape, and/
or digital media. Paper records and records on digital media are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Information is indexed by name of the Regulated Entity or by
certain SEC identification numbers. Information regarding individuals
may be obtained through the use of cross-reference methodology or some
form of personal identifier. Access for inquiry purposes is via a
computer terminal.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    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.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with security
cameras and 24-hour security guard service. Records are required to be
safeguarded in accordance with applicable SEC rules and policies.
Computerized records are safeguarded in a secured environment. Security
protocols meet the promulgating guidance as established by the National
Institute of Standards and Technology (NIST) Security Standards from
Access Control to Data Encryption and Security Assessment &
Authorization (SA&A). Records are maintained in a secure, password-
protected electronic system that will utilize commensurate safeguards
that may include: Firewalls, intrusion detection and prevention
systems, and role-based access controls. Additional safeguards will
vary by program. All records are protected from unauthorized access
through appropriate administrative, operational, and technical
safeguards. These safeguards include: Restricting access to authorized
personnel who have a ``need to know''; using locks; and password
protection identification features. Contractors and other recipients
providing services to the Commission shall be required to maintain
equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.
Notification Procedures
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 74
FR 36281 (July 22, 2009). Subsequent notices of revision can be found
at the following citations:
    --75 FR 35853 (June 23, 2010)
    --79 FR 69894 (November 24, 2014)

SYSTEM NAME AND NUMBER:
SEC-56:
    Mailing, Contact and Other Lists.

SECURITY CLASSIFICATION:
    Unclassified.

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

SYSTEM MANAGER(S):
    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.

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) OF THE SYSTEM:
    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, conduct surveys, and issue supplemental
information for SEC-related activities and events.

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 and responded to
questionnaires, request forms and feedback forms; and individuals who
elect to participate in SEC surveys and studies.

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, email 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.

RECORD SOURCE CATEGORIES:
    The information is supplied by the individual and/or company making
the request. Data may also be added pertaining to the fulfillment of
the request. Information may also be obtained from other SEC records
systems.

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. 552 a(b)(3) as follows:
    1. To appropriate agencies, entities, and persons when (1) the SEC
suspects or has confirmed that there has been a breach of the system of
records,[middot](2) the SEC has determined that as a result of the
suspected or confirmed breach there is a risk of harm to individuals,
the SEC (including its information systems, programs, and operations),
the Federal Government, or national security; and (3) 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 breach or to 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. To national securities exchanges and national securities
associations that are registered with the SEC, the Municipal Securities
Rulemaking Board; the Securities Investor Protection Corporation; the
Public Company Accounting Oversight Board; the Federal banking
authorities, including, but not limited to, the Board of Governors of
the Federal Reserve System, the Comptroller of the Currency, and the
Federal Deposit Insurance Corporation; state securities regulatory
agencies or organizations; or regulatory authorities of a foreign
government in connection with their regulatory or enforcement
responsibilities.
    4. 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.
    5. To a Federal, state, local, tribal, foreign, or international
agency in response to its request for information concerning the hiring
or retention of an employee; the issuance of a security clearance; the
reporting of an investigation of an employee; the letting of a
contract; or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the matter.
    6. 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.
    7. 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.
    8. 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.
    9. 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.
    10. To any person who is or has agreed to be subject to the
Commission's Rules of Conduct, 17 CFR 200.735-1 through 200.735-18, and
who assists in the investigation by the Commission of possible
violations of the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), in the preparation or conduct of enforcement actions
brought by the Commission for such violations, or otherwise in
connection with the Commission's enforcement or regulatory functions
under the Federal securities laws.
    11. 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.
    12. To respond to subpoenas in any litigation or other proceeding.
    13. To another Federal agency or Federal entity, when the SEC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
    14. In reports published by the Commission pursuant to authority
granted in the Federal securities laws (as such term is defined in
section 3(a)(47) of the Securities Exchange Act of 1934, 15 U.S.C.
78c(a)(47)), which authority shall include, but not be limited to,
section 21(a) of the Securities Exchange Act of 1934, 15 U.S.C.
78u(a)).
    15. 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.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases, magnetic disc, tape and/
or digital media. Paper records and records on computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by any of the following: Email address,
name, or an assigned file number for the purpose of responding to the
requestor. Information may additionally be retrieved by other personal
identifiers.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained until they become inactive, at
which time they will be retired or destroyed in accordance with the
SEC's records retention schedule, as approved by the National Archives
and Records Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Access to SEC facilities, data centers, and information or
information systems is limited to authorized personnel with official
duties requiring access. SEC facilities are equipped with 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. Computerized
records are safeguarded in a secured environment. Security protocols
meet the promulgating guidance as established by the National Institute
of Standards and Technology (NIST) Security Standards from Access
Control to Data Encryption and Security Assessment & Authorization
(SA&A).
    Records are maintained in a secure, password-protected electronic
system that will utilize commensurate safeguards that may include:
Firewalls, intrusion detection and prevention systems, and role-based
access controls. Additional safeguards will vary by program. All
records are protected from unauthorized access through appropriate
administrative, operational, and technical safeguards. These safeguards
include: Restricting access to authorized personnel who have a ``need
to know''; using locks; and password protection identification
features. Contractors and other recipients providing services to the
Commission shall be required to maintain equivalent safeguards.

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 20549-2465.

CONTESTING RECORD PROCEDURES:
    See Record Access Procedures above.
    NOTIFICATION PROCEDURES:
    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 20549-2465.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 74
FR 36281 (July 22, 2009). Subsequent notices of revision can be found
at the following citations:
    --75 FR 9968 (April 13, 2010)

SYSTEM NAME AND NUMBER:
SEC-57: Office of International Affairs Records.
SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Office of International Affairs, Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549.

SYSTEM MANAGER(S):
    Deputy Director, Office of International Affairs, Securities and
Exchange Commission, 100 F Street NE, Washington, DC 20549-1004.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77s, 77t, 78u, 77uuu, 80a-41, 80b-9, and 17 CFR 202.5.

PURPOSE(S) OF THE SYSTEM:
    Tracks data gathered by the Office of International Affairs with