Privacy Act of 1974: System of Records: Office of Inspector General Investigative Files (SEC-43), 31230-31232 [E6-8472]
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31230
Federal Register / Vol. 71, No. 105 / Thursday, June 1, 2006 / Notices
for the Securities and Exchange
Commission, Office of Information and
Regulatory Affairs, Office of
Management and Budget, Room 10102,
New Executive Office Building,
Washington, DC 20503, or e-mail to:
David_Rostker@omb.eop.gov; and (ii) R.
Corey Booth, Director/Chief Information
Officer, Securities and Exchange
Commission, C/O Shirley Martinson,
6432 General Green Way, Alexandria,
Virginia 22312 or send an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: May 22, 2006.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E6–8494 Filed 5–31–06; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Collection; Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
wwhite on PROD1PC61 with NOTICES
Extension: Rule 202(a)(11)–1; SEC File No.
270–471; OMB Control No. 3235–0532.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission (the
‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget (‘‘OMB’’) for
extension and approval.
The title for the collection of
information is ‘‘Certain Broker-Dealers
Deemed Not To Be Investment
Advisers.’’ Rule 202(a)(11)–1 (17 CFR
275.202(a)(11)–1) under the Investment
Advisers Act of 1940 (15 U.S.C. 80b–1
et seq.) (‘‘Advisers Act’’) addresses the
application of the Advisers Act to
broker-dealers offering accounts
charging an asset-based fee. The rule is
intended to clarify when brokers
offering these programs are subject to
the provisions of the Advisers Act. The
rule requires that all advertisements for
brokerage accounts charging an assetbased fee and all agreements and
contracts governing the operation of
those accounts contain a certain
prominent statement that the accounts
are brokerage accounts and not advisory
accounts. This collection of information
is necessary so that customers are not
confused with respect to the services
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19:10 May 31, 2006
Jkt 208001
that they are receiving, i.e., to prevent
customers and prospective customers
from mistakenly believing that the
account is an advisory account subject
to the Advisers Act. The collection
assists customers in making informed
decisions regarding whether to establish
accounts.
The respondents to this collection of
information are all broker-dealers that
are registered with the Commission. The
Commission has estimated that the
average annual burden for ensuring
compliance with the disclosure element
of the rule is 5 minutes per brokerdealer taking advantage of the rule. If all
of the approximately 6,158 brokerdealers registered with the Commission
took advantage of the rule, the total
estimated annual burden would be 511
hours (.083 hours × 6,158 brokers).
Written comments are invited on: (a)
Whether the collection of information is
necessary for the proper performance of
the functions of the agency, including
whether the information will have
practical utility; (b) the accuracy of the
agency’s estimate of the burden of the
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
Please direct your written comments
to R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312, or send an
e-mail to: PRA_Mailbox@sec.gov.
Dated: May 24, 2006.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E6–8495 Filed 5–31–06; 8:45 am]
BILLING CODE 8010–01–P
Sunshine Act Meeting Notice
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold the following
meeting during the week of June 5,
2006:
A Closed Meeting will be held on
Tuesday, June 6, 2006 at 2 p.m.
Frm 00089
Fmt 4703
Dated: May 30, 2006.
Nancy M. Morris,
Secretary.
[FR Doc. 06–5077 Filed 5–31–06; 3:45 pm]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. PA–36; File No. S7–09–06]
Privacy Act of 1974: System of
Records: Office of Inspector General
Investigative Files (SEC–43)
Securities and Exchange
Commission.
ACTION: Notice of an altered system of
records.
AGENCY:
SECURITIES AND EXCHANGE
COMMISSION
PO 00000
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meeting. Certain
staff members who have an interest in
the matters may also be present.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (6), (9)(B), (10)
and 17 CFR 200.402(a)(3), (5), (6), (9)(ii),
and (10) permit consideration of the
scheduled matters at the Closed
Meeting.
Commissioner Campos, as duty
officer, voted to consider the items
listed for the closed meetings in closed
session.
The subject matter of the Closed
Meeting scheduled for Tuesday, June 6,
2006 will be: Formal orders of
investigation; Institution and settlement
of injunctive actions; Institution and
settlement of administrative
proceedings of an enforcement nature;
and Resolution of litigation claims.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting items.
For further information and to
ascertain what, if any, matters have been
added, deleted or postponed, please
contact:
The Office of the Secretary at (202)
551–5400.
Sfmt 4703
SUMMARY: In accordance with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the
Securities and Exchange Commission
proposes to alter a Privacy Act system
of records: ‘‘Office of Inspector General
Investigative Files (SEC–43)’’, originally
published at 55 FR 1744, January 18,
1990. Revisions to this system were last
published at 63 FR 11936, March 11,
1998.
E:\FR\FM\01JNN1.SGM
01JNN1
Federal Register / Vol. 71, No. 105 / Thursday, June 1, 2006 / Notices
The changes will become
effective July 11, 2006 unless further
notice is given. The Commission will
publish a new notice if the effective date
is delayed to review comments or if
changes are made based on comments
received. To be assured of
consideration, comments should be
received on or before July 3, 2006.
ADDRESSES: Comments may be
submitted by any of the following
methods:
DATES:
wwhite on PROD1PC61 with NOTICES
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/other.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
Number S7–09–06 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Nancy M. Morris, Secretary,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–1090.
All submissions should refer to File
Number S7–09–06. This file number
should be included on the subject line
if e-mail is used. To help us process and
review your comments more efficiently,
please use only one method. The
Commission will post all comments on
the Commission’s Internet Web site
(https://www.sec.gov/rules/other.shtml).
Comments are also available for public
inspection and copying in the
Commission’s Public Reference Room,
100 F Street, NE., Washington, DC
20549. All comments received will be
posted without change; we do not edit
personal identifying information from
submissions. You should submit only
information that you wish to make
available publicly.
FOR FURTHER INFORMATION CONTACT:
Barbara A. Stance, Chief Privacy Officer,
U.S. Securities and Exchange
Commission, Operations Center, 6432
General Green Way, Mail Stop 0–7,
Alexandria, VA 22312–2413, (202) 551–
7209.
SUPPLEMENTARY INFORMATION: The
Commission proposes to alter a system
of records, ‘‘Office of Inspector General
Investigative Files (SEC–43).’’ As
described in the original notice, the
system contains investigatory material
compiled for law enforcement purposes.
This notice changes the system location
address and the address of the system
manager; clarifies the categories of
individuals covered by the system; and
expands the categories of records in the
system to include incoming complaints
and complaint logs, preliminary inquiry
files and indexes, and declarations from
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19:10 May 31, 2006
Jkt 208001
witnesses. This notice also eliminates or
consolidates some routine uses, and
adds a routine use to disclose
information to the Integrity Committee
of the President’s Council on Integrity
and Efficiency and the Executive
Council on Integrity and Efficiency,
another Federal Office of Inspector
General, or other Federal law
enforcement office in connection with
an investigation, inquiry or review
conducted pursuant to Executive Order
12993, or at the request of the SEC
Inspector General.
The Commission has submitted a
report of the altered system of records
to the Senate Committee on Homeland
Security and Governmental Affairs, the
House Committee on Government
Reform, and the Office of Management
and Budget, pursuant to 5 U.S.C. 552a(r)
of the Privacy Act of 1974, as amended,
and Appendix I to OMB Circular A–130,
‘‘Federal Agency Responsibilities for
Maintaining Records About
Individuals,’’ as amended on February
20, 1996 (61 FR 6435).
Accordingly, the Commission is
altering the system of records to read as
follows:
SEC–43
SYSTEM NAME:
Office of Inspector General
Investigative Files.
SYSTEM LOCATION:
Office of Inspector General, Securities
and Exchange Commission, 100 F
Street, NE., Washington, DC 20549–
2376.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
This system of records contains
records on individuals who are or have
been subjects of the Office of Inspector
General’s investigations or inquiries
relating to programs and operations of
the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Incoming complaints and complaint
logs; preliminary inquiry files and
indexes; all correspondence relevant to
the investigation; all internal staff
memoranda; copies of all subpoenas
issued during the investigation;
affidavits, declarations and statements
from witnesses; transcripts of testimony
taken in the investigation and
accompanying exhibits; documents and
records or copies obtained during the
investigation; working papers of the
staff and other documents and records
relating to the investigation; opening
reports, investigative plans, progress
reports, and closing reports; and
investigative peer review files.
PO 00000
Frm 00090
Fmt 4703
Sfmt 4703
31231
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as
amended, Pub. L. 95–452, 5 U.S.C. App.
PURPOSE(S):
The purpose of this system of records
is to enable the Commission’s Office of
Inspector General to carry out its
mandate under the Inspector General
Act Amendments of 1988. The system
will consist of files and records
compiled by the Commission’s Office of
Inspector General on Commission
employees or other persons who have
been part of an investigation for fraud
and abuse with respect to the
Commission’s programs and operations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:
Information in the system may be
disclosed:
(1) Where there is an indication of a
violation or a potential violation of law,
whether civil, criminal or regulatory in
nature, whether arising by general
statute or particular program statute, or
by regulation, rule or order issued
pursuant thereto, to the appropriate
agency, whether Federal, foreign, state,
or local, or to a securities self-regulatory
organization, charged with enforcing or
implementing the statute, or rule,
regulation or order.
(2) To Federal, foreign, state, or local
authorities in order to obtain
information or records relevant to an
Office of Inspector General investigation
or inquiry.
(3) To Federal, foreign, state, or local
governmental authorities in response to
their request in connection with the
hiring or retention of an employee,
disciplinary or other administrative
action concerning 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 in the matter.
(4) To non-governmental parties
where those parties may have
information the Office of Inspector
General seeks to obtain in connection
with an investigation or inquiry.
(5) To independent auditors or other
private firms or individuals with which
the Office of Inspector General has
contracted to carry out an independent
audit, or to provide support for audits,
reviews, investigations or other
inquiries. These contractors will be
required to maintain Privacy Act
safeguards with respect to such records.
(6) To respond to subpoenas in any
litigation or other proceeding.
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31232
Federal Register / Vol. 71, No. 105 / Thursday, June 1, 2006 / Notices
(7) To the Department of Justice and/
or the Office of General Counsel of the
Commission when the defendant in
litigation is: (a) Any component of the
Commission or any employee of the
Commission or any employee of the
Commission in his or her official
capacity; (b) the United States where the
Commission determines that the claim,
if successful, is likely to directly affect
the operations of the Commission; or (c)
any Commission employee in his or her
individual capacity where the
Department of Justice and/or the Office
of General Counsel of the Commission
agree to represent such employee.
(8) To a Congressional office in
response to an inquiry from the
Congressional office made at the request
of an individual but only from the
record of that individual.
(9) To inform complainants, victims,
and witnesses of the results of an
investigation or inquiry.
(10) To qualified individuals or
organizations in connection with the
performance of a peer review or other
study of the Office of Inspector
General’s audit or investigative
functions.
(11) To a Federal agency responsible
for considering debarment or
suspension action if the record would
be relevant to such action.
(12) To the Department of Justice for
the purpose of obtaining its advice on
Freedom of Information Act matters.
(13) To the Office of Management and
Budget for the purpose of obtaining its
advice on Privacy Act matters.
(14) To a public or professional
licensing organization if the record
indicates, either by itself or in
combination with other information, a
violation or potential violation of
professional standards, or reflects on the
moral, educational, or professional
qualifications of an individual who is
licensed or who is seeking to become
licensed.
(15) To the Office of Government
Ethics (OGE) to comply with agency
reporting requirements established by
OGE in 5 CFR part 2638, subpart F.
(16) To the news media and the
public when there exists a legitimate
public interest (e.g., to provide
information on events in the criminal
process, such as an indictment).
(17) To the Integrity Committee of the
President’s Council on Integrity and
Efficiency and the Executive Council on
Integrity and Efficiency, another Federal
Office of Inspector General, or other
Federal law enforcement office in
connection with an investigation,
inquiry or review conducted pursuant to
Executive Order 12993, or at the request
of the SEC Inspector General.
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19:10 May 31, 2006
Jkt 208001
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Office of Inspector General
Investigative Files consists of paper
records maintained in folders, binders
and logbooks; various records in
electronic form; and an automated data
base. The folders, binders and logbooks
are stored in the Office of Inspector
General’s file cabinets and offices. The
automated data base and electronic
records are maintained on a file server
and backup tapes in encrypted form.
RETRIEVABILITY:
The records are retrieved by the name
of the subject of the investigation or
inquiry, or by a unique control number
assigned to each investigation or
inquiry.
SAFEGUARDS:
These records are available only to
those persons whose official duties
require such access. The records are
kept in limited access areas during duty
hours and in locked file rooms or locked
offices at all other times.
RETENTION AND DISPOSAL:
The Investigative Files are kept in
accordance with the Office of Inspector
General’s record retention schedule.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, Office of Inspector
General, Securities and Exchange
Commission, 100 F Street, NE.,
Washington, DC 20549–2736.
NOTIFICATION PROCEDURES:
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, U.S. Securities and Exchange
Commission, Operations Center, 6432
General Green Way, Mail Stop 0–7,
Alexandria, VA 22312–2413.
RECORD ACCESS AND CONTESTING PROCEDURES:
Persons wishing to obtain information
on the procedures for gaining access to
or contesting the contents of this record
may contact the Privacy Act Officer,
U.S. Securities and Exchange
Commission, Operations Center, 6432
General Green Way, Mail Stop 0–7,
Alexandria, VA 22312–2413.
RECORD SOURCE CATEGORIES:
Information in these records is
supplied by: Individuals including,
where practicable, those to whom the
information relates; witnesses,
corporations and other entities; records
of individuals and of the Commission;
records of other entities; Federal,
PO 00000
Frm 00091
Fmt 4703
Sfmt 4703
foreign, state or local bodies and law
enforcement agencies; documents and
correspondence relating to litigation;
transcripts of testimony; and
miscellaneous other sources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(j)(2), this
system of records, to the extent it
pertains to the enforcement of criminal
laws, is exempted from all provisions of
the Privacy Act of 1974, 5 U.S.C. 552a,
except subsections (b), (c)(1) and (2),
(e)(4)(A) through (F), (e)(6), (7), (9), (10),
and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2), this
system of records to the extent it
consists of investigatory material
compiled for law enforcement purposes,
is exempted from the following
provisions of the Privacy Act of 1974, 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) other than material
within the scope of the exemption at 5
U.S.C. 552a(j)(2).
These exemptions are contained in 17
CFR 200.313.
Dated: May 24, 2006.
By the Commission.
Nancy M. Morris,
Secretary.
[FR Doc. E6–8472 Filed 5–31–06; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–53858; File No. SR–Amex–
2006–53]
Self-Regulatory Organizations;
American Stock Exchange LLC; Notice
of Filing and Immediate Effectiveness
of Proposed Rule Change Relating to
the DB Commodity Index Tracking
Fund
May 24, 2006.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on May 23,
2006, the American Stock Exchange LLC
(‘‘Amex’’ or ‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which Items have been prepared
by the Exchange. The Amex filed the
proposed rule change pursuant to
Section 19(b)(3)(A) of the Act 3 and Rule
19b–4(f)(6) thereunder,4 which renders
the proposal effective upon filing with
the Commission. The Commission is
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 17 CFR 240.19b–4(f)(6).
2 17
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01JNN1
]]>Agencies
[Federal Register Volume 71, Number 105 (Thursday, June 1, 2006)]
[Notices]
[Pages 31230-31232]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-8472]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-36; File No. S7-09-06]
Privacy Act of 1974: System of Records: Office of Inspector
General Investigative Files (SEC-43)
AGENCY: Securities and Exchange Commission.
ACTION: Notice of an altered system of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the requirements of the Privacy Act of
1974, as amended, 5 U.S.C. 552a, the Securities and Exchange Commission
proposes to alter a Privacy Act system of records: ``Office of
Inspector General Investigative Files (SEC-43)'', originally published
at 55 FR 1744, January 18, 1990. Revisions to this system were last
published at 63 FR 11936, March 11, 1998.
[[Page 31231]]
DATES: The changes will become effective July 11, 2006 unless further
notice is given. The Commission will publish a new notice if the
effective date is delayed to review comments or if changes are made
based on comments received. To be assured of consideration, comments
should be received on or before July 3, 2006.
ADDRESSES: Comments may be submitted by any of the following methods:
Electronic Comments
Use the Commission's Internet comment form (https://
www.sec.gov/rules/other.shtml); or
Send an e-mail to rule-comments@sec.gov. Please include
File Number S7-09-06 on the subject line.
Paper Comments
Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number S7-09-06. This file number
should be included on the subject line if e-mail is used. To help us
process and review your comments more efficiently, please use only one
method. The Commission will post all comments on the Commission's
Internet Web site (https://www.sec.gov/rules/other.shtml). Comments are
also available for public inspection and copying in the Commission's
Public Reference Room, 100 F Street, NE., Washington, DC 20549. All
comments received will be posted without change; we do not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly.
FOR FURTHER INFORMATION CONTACT: Barbara A. Stance, Chief Privacy
Officer, U.S. Securities and Exchange Commission, Operations Center,
6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-2413, (202)
551-7209.
SUPPLEMENTARY INFORMATION: The Commission proposes to alter a system of
records, ``Office of Inspector General Investigative Files (SEC-43).''
As described in the original notice, the system contains investigatory
material compiled for law enforcement purposes. This notice changes the
system location address and the address of the system manager;
clarifies the categories of individuals covered by the system; and
expands the categories of records in the system to include incoming
complaints and complaint logs, preliminary inquiry files and indexes,
and declarations from witnesses. This notice also eliminates or
consolidates some routine uses, and adds a routine use to disclose
information to the Integrity Committee of the President's Council on
Integrity and Efficiency and the Executive Council on Integrity and
Efficiency, another Federal Office of Inspector General, or other
Federal law enforcement office in connection with an investigation,
inquiry or review conducted pursuant to Executive Order 12993, or at
the request of the SEC Inspector General.
The Commission has submitted a report of the altered system of
records to the Senate Committee on Homeland Security and Governmental
Affairs, the House Committee on Government Reform, and the Office of
Management and Budget, pursuant to 5 U.S.C. 552a(r) of the Privacy Act
of 1974, as amended, and Appendix I to OMB Circular A-130, ``Federal
Agency Responsibilities for Maintaining Records About Individuals,'' as
amended on February 20, 1996 (61 FR 6435).
Accordingly, the Commission is altering the system of records to
read as follows:
SEC-43
SYSTEM NAME:
Office of Inspector General Investigative Files.
SYSTEM LOCATION:
Office of Inspector General, Securities and Exchange Commission,
100 F Street, NE., Washington, DC 20549-2376.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system of records contains records on individuals who are or
have been subjects of the Office of Inspector General's investigations
or inquiries relating to programs and operations of the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Incoming complaints and complaint logs; preliminary inquiry files
and indexes; all correspondence relevant to the investigation; all
internal staff memoranda; copies of all subpoenas issued during the
investigation; affidavits, declarations and statements from witnesses;
transcripts of testimony taken in the investigation and accompanying
exhibits; documents and records or copies obtained during the
investigation; working papers of the staff and other documents and
records relating to the investigation; opening reports, investigative
plans, progress reports, and closing reports; and investigative peer
review files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as amended, Pub. L. 95-452, 5 U.S.C.
App.
PURPOSE(S):
The purpose of this system of records is to enable the Commission's
Office of Inspector General to carry out its mandate under the
Inspector General Act Amendments of 1988. The system will consist of
files and records compiled by the Commission's Office of Inspector
General on Commission employees or other persons who have been part of
an investigation for fraud and abuse with respect to the Commission's
programs and operations.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
Information in the system may be disclosed:
(1) Where there is an indication of a violation or a potential
violation of law, whether civil, criminal or regulatory in nature,
whether arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, to the appropriate
agency, whether Federal, foreign, state, or local, or to a securities
self-regulatory organization, charged with enforcing or implementing
the statute, or rule, regulation or order.
(2) To Federal, foreign, state, or local authorities in order to
obtain information or records relevant to an Office of Inspector
General investigation or inquiry.
(3) To Federal, foreign, state, or local governmental authorities
in response to their request in connection with the hiring or retention
of an employee, disciplinary or other administrative action concerning
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 in the matter.
(4) To non-governmental parties where those parties may have
information the Office of Inspector General seeks to obtain in
connection with an investigation or inquiry.
(5) To independent auditors or other private firms or individuals
with which the Office of Inspector General has contracted to carry out
an independent audit, or to provide support for audits, reviews,
investigations or other inquiries. These contractors will be required
to maintain Privacy Act safeguards with respect to such records.
(6) To respond to subpoenas in any litigation or other proceeding.
[[Page 31232]]
(7) To the Department of Justice and/or the Office of General
Counsel of the Commission when the defendant in litigation is: (a) Any
component of the Commission or any employee of the Commission or any
employee of the Commission in his or her official capacity; (b) the
United States where the Commission determines that the claim, if
successful, is likely to directly affect the operations of the
Commission; or (c) any Commission employee in his or her individual
capacity where the Department of Justice and/or the Office of General
Counsel of the Commission agree to represent such employee.
(8) To a Congressional office in response to an inquiry from the
Congressional office made at the request of an individual but only from
the record of that individual.
(9) To inform complainants, victims, and witnesses of the results
of an investigation or inquiry.
(10) To qualified individuals or organizations in connection with
the performance of a peer review or other study of the Office of
Inspector General's audit or investigative functions.
(11) To a Federal agency responsible for considering debarment or
suspension action if the record would be relevant to such action.
(12) To the Department of Justice for the purpose of obtaining its
advice on Freedom of Information Act matters.
(13) To the Office of Management and Budget for the purpose of
obtaining its advice on Privacy Act matters.
(14) To a public or professional licensing organization if the
record indicates, either by itself or in combination with other
information, a violation or potential violation of professional
standards, or reflects on the moral, educational, or professional
qualifications of an individual who is licensed or who is seeking to
become licensed.
(15) To the Office of Government Ethics (OGE) to comply with agency
reporting requirements established by OGE in 5 CFR part 2638, subpart
F.
(16) To the news media and the public when there exists a
legitimate public interest (e.g., to provide information on events in
the criminal process, such as an indictment).
(17) To the Integrity Committee of the President's Council on
Integrity and Efficiency and the Executive Council on Integrity and
Efficiency, another Federal Office of Inspector General, or other
Federal law enforcement office in connection with an investigation,
inquiry or review conducted pursuant to Executive Order 12993, or at
the request of the SEC Inspector General.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The Office of Inspector General Investigative Files consists of
paper records maintained in folders, binders and logbooks; various
records in electronic form; and an automated data base. The folders,
binders and logbooks are stored in the Office of Inspector General's
file cabinets and offices. The automated data base and electronic
records are maintained on a file server and backup tapes in encrypted
form.
RETRIEVABILITY:
The records are retrieved by the name of the subject of the
investigation or inquiry, or by a unique control number assigned to
each investigation or inquiry.
SAFEGUARDS:
These records are available only to those persons whose official
duties require such access. The records are kept in limited access
areas during duty hours and in locked file rooms or locked offices at
all other times.
RETENTION AND DISPOSAL:
The Investigative Files are kept in accordance with the Office of
Inspector General's record retention schedule.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, Office of Inspector General, Securities and
Exchange Commission, 100 F Street, NE., Washington, DC 20549-2736.
NOTIFICATION PROCEDURES:
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, U.S. Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria,
VA 22312-2413.
RECORD ACCESS AND CONTESTING PROCEDURES:
Persons wishing to obtain information on the procedures for gaining
access to or contesting the contents of this record may contact the
Privacy Act Officer, U.S. Securities and Exchange Commission,
Operations Center, 6432 General Green Way, Mail Stop 0-7, Alexandria,
VA 22312-2413.
RECORD SOURCE CATEGORIES:
Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the
Commission; records of other entities; Federal, foreign, state or local
bodies and law enforcement agencies; documents and correspondence
relating to litigation; transcripts of testimony; and miscellaneous
other sources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(j)(2), this system of records, to the
extent it pertains to the enforcement of criminal laws, is exempted
from all provisions of the Privacy Act of 1974, 5 U.S.C. 552a, except
subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7),
(9), (10), and (11), and (i).
Pursuant to 5 U.S.C. 552a(k)(2), this system of records to the
extent it consists of investigatory material compiled for law
enforcement purposes, is exempted from the following provisions of the
Privacy Act of 1974, 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f) other than material within the scope of the exemption
at 5 U.S.C. 552a(j)(2).
These exemptions are contained in 17 CFR 200.313.
Dated: May 24, 2006.
By the Commission.
Nancy M. Morris,
Secretary.
[FR Doc. E6-8472 Filed 5-31-06; 8:45 am]
BILLING CODE 8010-01-P
