System of Records Notices (SORN)

#..SEC-6
System name:
Periodic Reports Filed under the Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935, and
Investment Company Act of 1940 and Investment Advisers Act of 1940.
System location:
Securities and Exchange Commission, Washington, DC 20549. Records may
also be maintained in SEC Regional and District Offices.
Categories of individuals covered by the system:
Records include information concerning officers, directors and certain
shareholders of issuers required to file periodic reports with the
Commission.
Categories of records in the system:
The records describe lawsuits, shareholdings, business transactions,
relationships to the issuer and other relevant material business
information about the individual.
Authority for maintenance of the system:
Title 15, United States Code, sections 78m, 79n, 80a-30, and 80b-4, and
rules and regulations adopted by the Commission under the Securities
Act of 1933, the Securities Exchange Act of 1934, Public Utility
Holding Company Act of 1935, the Investment Company Act of 1940 and the
Investment Advisers Act of 1940.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and the information contained in these records may be
used for the following purposes:
1. By SEC staff in the processing of filings.
2. Records may be used to respond to inquiries from Members of
congress and the public concerning an issuer; may also be used in
preparing no-action letters.
3. By SEC personnel for purposes of investigating possible violations
of the Federal securities laws.
4. Where there is an indication of a violation or potential violation
of law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local, foreign or
a securities self-regulatory organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing the statute, or rule,
regulation or order issued pursuant thereto.
5. When considered appropriate, records in this system may be
referred to a bar association or similar Federal, State or local
licensing authority for possible disciplinary action.

6. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State or local governmental authority
maintaining civil, criminal or other relevant enforcement information
of other pertinent information, such as current licenses, if
necessary to obtain information relevant to an agency 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.
7. A record from this system of records may be disclosed to a
Federal, State of local governmental authority, in response to its
request, in connection with the hiring or retention of an
investigation of an employee, the issuance of a security clearance,
the reporting 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.
8. 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 or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
9. 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.
10. In connection with investigations or disciplinary proceedings by a
State securities regulatory authority or by a securities selfregulatory organization involving one or more of its members.
In connection with their regulatory and enforcement responsibilities
mandated by the Federal securities laws (as defined in section 21(g) of
the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or
foreign laws regulating securities or other related matters, records in
this system of records may be disclosed to national securities
exchanges and national securities associations that are registered with
the Commission, the Municipal Securities Rulemaking Board, the
Securities Investor Protection Corporation, 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 or
law enforcement agencies or organizations, or regulatory or law
enforcement agencies of a foreign government.
Records in this system may be disclosed as a routine use 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
21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g)) or the

Commission's rules of practice, 17 CFR 202.1 et seq. 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.
Records in this system may, in the discretion of the Commission's
staff, be disclosed to any person during the course of any inquiry or
investigation conducted by the Commission staff, or in connection
with civil litigation, if the staff has reason to believe that the
person to whom the record is disclosed may have further information
about the matters related therein, and those matters appeared to be
relevant at the time to the subject matter of the inquiry.
A record or information in this system may be disclosed to any
person with whom the Commission contracts to reproduce, by typing,
photocopy or other means, any record within this system for use by
the Commission and its staff in connection with their official duties
or to any person who is utilized by the Commission to perform clerical
or stenographic functions relating to the official business of the
Commission.
Records or information in records contained in this system may be
disclosed to members of advisory committees that are created by the
Commission or by the Congress to render advice and recommendations to
the Commission or to the Congress, to be used solely in connection
with their official, designated functions.
Records or information in the records in this system may be disclosed
as a routine use to any person who is or has agreed to be subject to
the Commission's rules of conduct, 17 CFR 202.785-1 et seq., and who
assists in the investigation by the Commission of possible violations
of Federal securities laws (as defined in section 21(g) of the
Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), 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.
Disclosure may be made to a congressional office from the record of an
individual in response to an inquiry from the congressional office made
at the request of that individual.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in hard copy form or microform.
Retrievability:
Records are accessed by name and/or file number assigned to registrant.
No individual name access is provided, although the Commission's NameRelationship Index system cross-indexes the names of individuals with
registrants.

Safeguards:
Records contain public information and are available through the Public
Reference Section. Records are maintained in central records office,
which is locked at night and the building where the records are
maintained has a 24-hour security guard.
Retention and disposal:
These records are transferred to the Federal Records Center
periodically for storage. They are controlled by file number and
disposed of in accordance with the Commission's formal Records Control
Schedule outlined at 17 CFR 200.80f. Certain files that have been
categorized as permanent are retired to the National Archives and
Records Administration, after the designated storage period at the
Federal Records Center.
System manager(s) and address:
Records Officer, Office of Filings and Information Services,
Securities and Exchange Commission, Operations Center, 6432 General
Green Way, Mail Stop A-1, Alexandria, VA 22312-2413.
Notification procedure:
All requests to determine whether this system of records contains a
record pertaining to the requesting individual may be directed to the
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 223122413.
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
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 223122413.
Contesting record procedures:
See Record access procedures above.
Record source categories:
Periodic reports filed by registrants under the applicable Federal
securities laws.