respect to processing (1) requests for enforcement cooperation with
foreign regulators and law enforcement agencies; (2) international
regulatory policy matters designed to protect investors, improve market
efficiency, and eliminate opportunities for ``regulatory arbitrage'';
(3) technical assistance and international training programs for
emerging securities markets; (4) directory of contacts for foreign
regulators and stock exchanges; (5) SEC staff foreign travel; and (6)
USAID Reimbursement.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Foreign and domestic contacts for Enforcement workload/Commission
and foreign requests; foreign and domestic contacts for policy
requests; Foreign officials trained in SEC Headquarters; Chairmen,
CEOs, and Presidents of foreign regulators and stock exchanges; SEC
staff traveling overseas; and information on vendors providing support
for SEC's technical assistance program and individuals entitled to
USAID reimbursements.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Contact information of individuals related to Enforcement cases and
policy requests. Contact information of international institute foreign
officials trained in SEC Headquarters; Contact information for
Chairmen, CEOs, and Presidents of foreign regulators and stock
exchanges; SEC staff traveling overseas; and information on vendors
providing support for SEC's technical assistance program and
individuals entitled to USAID reimbursements. Correspondence relevant
to the matter, internal staff memoranda, Commission Minutes and
Commission Orders, working papers of the staff and other documents and
records relating to the matter, opening reports, progress reports and
closing reports, miscellaneous records relating to cross-border
investigations or litigation and other international enforcement and
regulatory matters.

RECORD SOURCE CATEGORIES:
    Information contained in this system is obtained from enforcement
requests related to an SEC investigation; international institute
training programs; foreign regulators and stock exchanges; SEC travel
records; and USAID reimbursable programs.

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. 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 members of Congress, the General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    23. 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.
    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 computer disc are stored
in locked file rooms and/or file cabinets.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Data are retrievable by the individual's name or other identifier,
such as case number, name, as well as non-identifying 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 20549-2465.

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).

SYSTEM NAME AND NUMBER:
SEC-60:
    Ethics Conduct Rules Files.

SECURITY CLASSIFICATION:
    Unclassified.

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

SYSTEM MANAGER(S):
    The Ethics Counsel and the Designated Agency Ethics Official,
Office of the General Counsel, Securities and Exchange Commission, 100
F Street NE, Washington, DC 20549-1050.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    The Federal securities laws (15 U.S.C. 77s, 78w, 77sss, 80a-37 and
80b-11) and the regulations promulgated thereunder, including the
Ethics Conduct Rules currently located at 17 CFR part 200 Subpart M.

PURPOSE(S) OF THE SYSTEM:
    For use by authorized SEC Ethics Office personnel, designated by
the Ethics Counsel, and from time to time certain other SEC personnel,
designated by the Ethics Counsel in his or her discretion, in
connection with their official functions related to administering and
supervising compliance with the Commission's Ethics Conduct Rules.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    SEC Members and employees, past and present.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Information relating to the SEC's ``Regulation Concerning Conduct
of Members and Employees and Former Members and Employees of the
Commission'' (``Ethics Conduct Rules''), currently located at 17 CFR
part 200 Subpart M, including outside employment and activities, and
covered securities transactions, securities holdings and securities
accounts.

RECORD SOURCE CATEGORIES:
    Information is provided by current Members and employees of the
Commission or their designees in accordance with the requirements of
the SEC Ethics Conduct Rules.

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 a Federal, State, or local law enforcement agency if the
disclosing agency becomes aware of a violation or potential violation
of law or regulation.
    3. To a court or party in a court or Federal administrative
proceeding if the Government is a party or in order to comply with a
judge-issued subpoena.
    4. To a source when necessary to obtain information relevant to a
conflict of interest or securities law investigation or decision.
    5. To the National Archives and Records Administration or the
General Services Administration in records management inspections.
    6. To the Office of Management and Budget during legislative
coordination on private relief legislation.
    7. To the Department of Justice or in certain legal proceedings
when the disclosing agency, and employee of the disclosing agency, or
the United States is a party to litigation or has an interest in the
litigation and the use of such records is deemed relevant and necessary
to the litigation.
    8. To reviewing officials in a new office, department or agency
when an employee transfers from one position to another subject to the
Ethics Conduct Rules.
    9. To a Member of Congress or a congressional office in response to
an inquiry made on behalf of an individual who is the subject of the
record.

    10. To interns, grantees, experts and contractors who have been
engaged by the Commission to assist in the performance of a service
related to this system of records and who need access to the records
for the purpose of assisting the Commission in the efficient
administration of its programs. Recipients of these records shall be
required to comply with the requirements of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a; and
    11. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of the
function for which the records are collected and maintained; may also
be utilized to respond to general requests for statistical information
(without personal identification of individuals) under the Freedom of
Information Act.
    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 or other personal
identifiers, as well as non-identifying information. Information
regarding individuals may be obtained through the use of cross-
reference methodology.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained for six years or otherwise in
accordance with records schedules of the 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/Privacy Act 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:
    None.

HISTORY:
    This SORN was last published in full in the Federal Register at 74
FR 46254 (September 8, 2009).

SYSTEM NAME AND NUMBER:
SEC-62:
    Office of Municipal Advisor Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission (``Commission'' or ``SEC'') 100
F Street NE, Washington, DC 20549.

SYSTEM MANAGER(S):
    Assistant Director, Division of Trading and Markets, Securities and
Exchange Commission, 100 F Street NE, Washington, DC 20549-7561.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Dodd-Frank Wall Street Reform and Consumer Protection Act, Section
975(a), Pub. L. 111-203 (2010); 15 U.S.C. 78a et seq.; 80b-1 et. seq.;
and 17 CFR 202.1 through 202.10.

PURPOSE(S) OF THE SYSTEM:
    The records are used by SEC staff to track, process, respond to,
and maintain documentation of correspondence, inquiries/requests/
comments, communications, and related information from or regarding
members of the public, including industry representatives, counsel, and
others, relating to Municipal Advisors; to document Commission or SEC
staff responses on a formal or informal basis.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Persons applying for registration or exemption from registration as
a Municipal Advisor, persons currently or formerly registered with the
Commission as a Municipal Advisor, and their partners, officers,
directors, associated persons, control persons, control affiliates,
employees, owners, principal shareholders, other related persons, and
their representatives or counsel; and representatives of regulated
entities and their counsel, members of the public, representatives of
other governmental agencies or Congress, and others who submit
correspondence, inquiries, information, comments, or other forms of
communication to the Commission or SEC staff relating to Municipal
Advisors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Both electronic and paper records in this system may include
information concerning an individual's activities and transactions as
or pertaining to, or relationships with, a Municipal Advisor; the name
of the correspondent or inquirer/requester/commenter/communicant or
their representative; the name of the entity; the subject of the
correspondence, inquiry/request/comment or communication; the date of
the correspondence, inquiry/request/comment or communication; and the
Commission or SEC staff response provided, or other disposition, on a

formal or informal basis. Paper records may include, but are not
limited to, letters, facsimiles, imaged documents, other written forms
of communication, and related documentation.

RECORD SOURCE CATEGORIES:
    Information collected is received from individuals primarily
through correspondence or other written or verbal forms of
communication, including without limitation telephone calls, emails and
other forms of electronic communication, letters, or facsimiles to the
Commission and SEC staff.

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 members of Congress, the General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    23. 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.
    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 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: Name, receipt
date, entity name, registration number, telephone/cellular/facsimile
number, email or internet address, subject matter, 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 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 75
FR 51854 (August 23, 2010).

SYSTEM NAME AND NUMBER:
SEC-63:
    Tips, Complaints, and Referrals (TCR) Records.

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.

SYSTEM MANAGER(S):
    Deputy Director, Division of Risk, Strategy, and Financial
Innovation, U.S. Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77a et seq., 78a et seq., 80a-1 et seq., 80b-1 et seq.,
and 5 U.S.C. 302.

PURPOSE(S) OF THE SYSTEM:
    For use by authorized SEC personnel in receiving, recording,
assigning, tracking, and taking action on tips, complaints, and
referrals received from individuals and entities related to actual or
potential violations of the Federal securities laws; investor harm; or
conduct of public companies, securities professionals, regulated
entities and associated persons.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (1) Individuals that submit tips, complaints, or related
information about actual or potential violations of the Federal
securities laws; investor harm; conduct of public companies, securities
professionals, regulated entities, and associated persons; and internal
and external referrals of misconduct; (2) Individuals that are the
subjects of a tip or complaint related to an actual or potential
securities law violation; (3) Attorneys or other related individuals;
and (4) SEC personnel or contractors

assigned to handle such tips, complaints, and referrals.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may include individual names, dates of birth, social
security numbers, addresses, telephone numbers, tip, complaint, and
referral information including allegation descriptions, dates, and
supporting details; supporting documentation; web forms; emails;
criminal history; working papers of the staff; and other documents and
records relating to the matter.

RECORD SOURCE CATEGORIES:
    Information in these records may be supplied by investors and the
general public, Commission-regulated entities including broker-dealers,
investment advisers, self-regulatory organizations, other government
agencies, and foreign regulators.

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 members of Congress, the General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    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.

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 an individual's or entity's name,
receipt date, subject matter, keywords that may include personal
information, and/or other personal identifier. The system will also
enable authorized SEC personnel to search for and retrieve records
using conventional methods including but not limited to the use of
unique record identifiers, keyword searches, geographic data (e.g. ZIP
code), date and time searches, and sorts and filters.

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 76
FR 30213 (May 24, 2011). Subsequent notices of revision can be found at
the following citations:
    --76 FR 57636 (September 16, 2011)

SYSTEM NAME AND NUMBER:
SEC-64:
    SEC Security in the Workplace Incident Records.

SECURITY CLASSIFICATION:
    Unclassified.

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

SYSTEM MANAGER(S):
    Chief, SEC Security Branch, 100 F Street NE, Washington, DC 20549-
2465.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7902(d) and (e).

PURPOSE(S) OF THE SYSTEM:
    The records are used by SEC personnel to take action on, or to
respond to a complaint about a threat, harassment, intimidation,
violence, or other inappropriate behavior involving one or more SEC
employees, contractors, interns, or other individuals against an SEC
employee; and to make assessments of violent or potentially violent
situations and then make recommendations regarding interventions for
those persons involved with the situations.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Past and present employees, interns, and volunteers of the
Securities and Exchange Commission (employees), contractors, visitors,
and others who have access to SEC facilities who report

potential or actual workplace violence; persons accused of threatening
to commit, or committing workplace violence, and persons interviewed or
investigated in connection with reports or allegations of potential or
actual workplace violence.

CATEGORIES OF RECORDS IN THE SYSTEM:
    These records include, but are not limited to: Case number,
victim's name, office telephone number, room number, office/division,
duty station, position, supervisor, supervisor's telephone number,
location of incident, activity at time of incident, circumstances
surrounding the incident, perpetrator, name(s) and telephone number(s)
of witness(es), injured party(s), medical treatment(s), medical report,
property damages, report(s) to police, and related information needed
to investigate violence, threats, harassment, intimidation, or other
inappropriate behavior causing SEC employees, contractors, or other
individuals to fear for their personal safety in the SEC workplace.

RECORD SOURCE CATEGORIES:
    Records source is from individuals who report potential or actual
workplace security incidents, and reports made on individuals
interviewed or investigated in connection with allegations of potential
or actual workplace security incidents.

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 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. When a person or property is harmed, or when threats of harm to
a person or property are reported, disclosure will be made, as
appropriate, to law enforcement authorities, medical treatment
authorities, and those persons being threatened or harmed.
    3. To other Federal, state, local, or foreign law enforcement
agencies; securities self-regulatory organizations; and foreign
securities authorities to assist in or coordinate regulatory or law
enforcement activities with the SEC.
    4. To a bar association, a state accountancy board, the Public
Company Accounting Oversight Board, or any similar Federal, state, or
local licensing authority for possible disciplinary action.
    5. 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.
    6. 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.
    7. 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.
    8. 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.
    9. 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.
    10. 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.
    11. 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.
    12. To a Congressional office in response to an inquiry from that
Congressional office made at the request of the individual to whom the
record pertains.
    13. To respond to subpoenas in any litigation or other proceeding.
    14. To members of Congress, the Government Accountability Office,
or others charged with monitoring the work of the Commission or
conducting records management inspections.
    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 are retrieved by name or case designation (those who
reported a violent or potentially violent event and those who were
reported), event date, and event location

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:
    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.

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 76
FR 30213 (May 24, 2011). Subsequent notices of revision can be found at
the following citations:
    --76 FR 57636 (September 17, 2011)

SYSTEM NAME AND NUMBER:
SEC-65:
    Correspondence Response Systems.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549. Also, records covered by Subsystem A are received by and
maintained in the Commission's Regional Offices, whose addresses are
listed below under System Manager(s) and Address.

SYSTEM MANAGER(S):
    Subsystem A: Chief Counsel, Office of Investor Education and
Advocacy, 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, 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.
    Subsystem B: Office of the Chairman, Securities and Exchange
Commission, 100 F Street NE, Washington, DC 20549.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    15 U.S.C. 77s, 77sss, 78d, 78d-1, 78d-2, 78w, 78ll(d), 79t, 80a-37,
and 80b-11.

PURPOSE OF THE SYSTEM:
    The records will be used by the staff to track and process
complaints/inquiries/requests from members of the public and others.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Subsystem A:
    Records are maintained in the Investor Response Information System
(IRIS) on members of the public and others who submit questions or
complaints to the Commission generally, or to Divisions and Offices of
the Commission, or who contact the Office of Investor Education and
Advocacy or the Commission's Regional Offices.
    Subsystem B:
    Records are maintained in the Chairman's Correspondence System
(CCS) on members of the public, members of Congress or their staff, and
others who address their inquiries or complaints to the Commission's
Chairman's Office or to the Office of Legislative and Intergovernmental
Affairs.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Both electronic and paper records in this system/subsystems may
contain the name of the complainant/inquirer/requester or their
representative, the name of the entity and/or subject of the complaint/
inquiry/request, the date relating to the receipt and disposition of
the complaint/inquiry/request, Personally Identifiable Information
(PII) and other sensitive information such as investment account
information, and, where applicable, the type of complaint/inquiry/
request and other information derived from or relating to the
complaint/inquiry/request. Paper records may include, but are not
limited to, letters of complaint/inquiry/request, responses, and
related documentation.

RECORD SOURCE CATEGORIES:
    Information collected in all subsystems is received from
individuals primarily through web forms, email,

letters, telephone calls, or personal visits to the Commission's
offices.

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 SEC
has determined that, as a result of the suspected or confirmed
compromise, there is a risk of harm to economic or property interests,
identity theft or fraud, or harm to the security or integrity of this
system or other systems or programs (whether maintained by the SEC or
another agency or entity) that rely upon the compromised information;
and (c) the disclosure made to such agencies, entities, and persons is
reasonably necessary to assist in connection with the SEC's efforts to
respond to the suspected or confirmed compromise and prevent, minimize,
or remedy such harm.
    2. To other Federal, state, local, or foreign law enforcement
agencies; securities self-regulatory organizations; and foreign
financial regulatory authorities to assist in or coordinate regulatory
or law enforcement activities with the SEC.
    3. 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 members of Congress, the General Accountability Office, or
others charged with monitoring the work of the Commission or conducting
records management inspections.
    23. To respond to inquiries from individuals who have submitted
complaints/inquiries/request, or from their representatives.
    24. To entities against which complaints/inquiries/requests are
directed when Commission staff requests them to research the issues
raised and report back to the staff.

POLICIES AND PRACTICES STORAGE OF RECORDS:
    Records are maintained in electronic and paper format. Electronic
records are stored in computerized databases and/or on computer disc.
Paper records and records on computer disc are stored in file rooms
and/or file cabinets, as well as off-site locations including the
Federal Records Center, pursuant to applicable record retention
guidelines.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    The files (both paper and electronic) in Subsystems A and B are
retrievable by the name, receipt date, name of the registered
representative or associated person named in the complaint/inquiry/
request, or the name of the entity/issuer that is the subject of the
complaint/inquiry/request.

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:
    Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24 hour security guard
service. The records are kept in limited access areas during duty hours
and in file cabinets and/or offices or file rooms at all other times.
Computerized records are safeguarded through use of access codes and
information technology security. Contractors and other recipients
providing services to the Commission are contractually obligated to
maintain equivalent safeguards.

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), (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 76
FR 30213 (May 24, 2011). Subsequent notices of revision can be found at
the following citations:
    --76 FR 57636 (September 18, 2011)

SYSTEM NAME AND NUMBER:
SEC-66:
    Backup Care Employee and Family Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Bright Horizons Family Solutions, 200 Talcott Avenue, Watertown, MA
02472. Records may also be maintained at subcontracted childcare center
locations. Electronic Reports of SEC Employees' registrations and uses
are maintained at the Securities and Exchange Commission, 100 F Street
NE, Washington, DC 20549.

SYSTEM MANAGER(S):
    Associate Executive Director, Office of Human Resources, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-3901.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    40 U.S.C 590.

PURPOSE(S) OF THE SYSTEM:
    The records are used to determine an employee's eligibility to
request backup care benefits for family members.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current SEC employees who voluntarily sign up for backup care
benefits and their family members for whom care is needed.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records may contain employee name, email address, home address,
home and cell telephone numbers, and date of birth; family member's
name, address, date of birth, physician medical form, and medical
identification number; photos of child, and individuals authorized to
pick up child; and provider's name.

RECORD SOURCE CATEGORIES:
    All information is provided by SEC employees registering for the
services.

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 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. 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.
    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 format. Electronic records are
stored in computerized databases, magnetic disc, tape and/or on 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.

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 77
FR 65913 (October 31, 2012). Subsequent notices of revision can be
found at the following citations:
    --78 FR 41962 (July 12, 2013)

SYSTEM NAME AND NUMBER:
SEC-67:
    General Information Technology Records.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Securities and Exchange Commission, Headquarters, 100 F Street NE,
Washington, DC 20549 and the SEC's Regional Offices.

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 302, Delegation of Authority; 44 U.S.C. 3534; Federal
Information Security Act (Pub. L. 104-106, section 5113); Electronic
Government Act (Pub. L. 104-347, section 203); and E.O. 9397 (SSN), as
amended by E.O. 13487.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system is to (1) provide authentication and
authorization to individuals with access to SEC-controlled information
and information system networks; (2) collect, review, and maintain any
logs, audit trails, or other such security data regarding the use of
SEC information or information systems; and (3) to enable the
Commission to detect, report, and take appropriate action against
improper or unauthorized access to SEC-controlled information and
information systems networks. The records will also enable the SEC to
provide individuals access to certain programs and meeting attendance
and, where appropriate, allow for sharing of information between
individuals in the same operational program to facilitate
collaboration. SEC management personnel may use statistical data, with
all personal identifiers removed or masked, for system efficiency,
workload calculation, or reporting purposes.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Records are maintained on all individuals who are authorized to
access SEC information or information systems; including: employees,
contractors, students, interns, volunteers, affiliates, others working
on behalf of the SEC, and individuals formerly in any of these
positions. Records may also include individuals who voluntarily join an
SEC-owned and operated web portal for collaboration purposes;
individuals who request access but are denied, and/or who have had
access revoked.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The system of records may include: Users' names; social security
numbers; business telephone numbers; cellular phone numbers; pager
numbers; levels of access; physical and email addresses; titles;
departments; division; contractor/employee status; computer logon
addresses; password hashes; user identification codes; dates and times
of access; IP addresses; logs of internet activity; types of access/
permissions required; failed access data; archived transaction data;
historical data; and justifications for access to SEC computers,
networks, or systems. For individuals who telecommute from home or a
telework center, the records may contain the internet Protocol (IP)
address and telephone number at that location. For contractors, the
system may contain the company name, contract number, and contract
expiration date. The system may also contain details regarding:
Programs; databases; functions; and sites accessed and/or used, dates
and times of use, information products created, received, or altered
during use, and access or functionality problems reported for technical
support and resolution.

RECORD SOURCE CATEGORIES:
    Information is supplied by the record subject, their supervisors,
and the personnel security staff. Logs and details about access times
and functions used are provided by the system.

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 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 respond to subpoenas in any litigation or other proceeding.
    10. 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.
    11. To members of Congress, the Government Accountability Office,
or others charged with monitoring the work of the Commission or
conducting records management inspections.
    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:
    Information may be retrieved, sorted, and/or searched by an
identification number assigned by the computer, the last two digits of
a social security number, email address, or by the name of the
individual, or other employee

data fields previously identified in this SORN.

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 4 (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 79
FR 30661 (May 28, 2014).

    By the Commission.

    Dated: December 21, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020-28601 Filed 12-23-20; 8:45 am]
BILLING CODE 8011-01-P