Privacy Act of 1974: Establishment of a New System of Records: Photographic Files (SEC-54), 63810-63811 [E6-18234]
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cprice-sewell on PROD1PC66 with NOTICES
63810
Federal Register / Vol. 71, No. 210 / Tuesday, October 31, 2006 / Notices
purchased by the Other Group
Management Company in Affiliated
Underwritings and the amount
purchased directly from an
Underwriting Affiliate have changed
significantly from prior years. The
Board will take any appropriate actions
based on its review, including, if
appropriate, the institution of
procedures designed to assure that
purchases of securities in Affiliated
Underwritings are in the best interests
of shareholders.
7. The Other Group Management
Company will maintain and preserve
permanently in an easily accessible
place a written copy of the procedures
described in the preceding condition,
and any modifications to such
procedures, and will maintain and
preserve for a period of not less than six
years from the end of the fiscal year in
which any purchase from an Affiliated
Underwriting occurred, the first two
years in an easily accessible place, a
written record of each purchase of
securities in Affiliated Underwritings
once an investment by a Fund of Funds
in the securities of an Other Group
Management Company exceeds the limit
of section 12(d)(1)(A)(i) of the Act,
setting forth from whom the securities
were acquired, the identity of the
underwriting syndicate’s members, the
terms of the purchase, and the
information or materials upon which
the determinations of the Board of the
Other Group Management Company
were made.
8. Before investing in an Other Group
Management Company in excess of the
limit in section 12(d)(1)(A)(i) of the Act,
the Fund of Funds and the Other Group
Management Company will execute a
Participation Agreement stating,
without limitation, that their Boards and
their investment advisers understand
the terms and conditions of the order
and agree to fulfill their responsibilities
under the order. At the time of its
investment in shares of an Other Group
Management Company in excess of the
limit in section 12(d)(1)(A)(i), a Fund of
Funds will notify the Other Group
Management Company of the
investment. At such time, the Fund of
Funds will also transmit to the Other
Group Management Company a list of
the names of each Fund of Funds
Affiliate and Underwriting Affiliate. The
Fund of Funds will notify the Other
Group Management Company of any
changes to the list as soon as reasonably
practicable after a change occurs. The
Other Group Management Company and
the Fund of Funds will maintain and
preserve a copy of the order, the
Participation Agreement, and the list
with any updated information for the
VerDate Aug<31>2005
15:25 Oct 30, 2006
Jkt 211001
duration of the investment and for a
period of not less than six years
thereafter, the first two years in an
easily accessible place.
9. Before approving any advisory
contract under section 15 of the Act, the
Board of each Fund of Funds, including
a majority of the Disinterested Directors,
will find that the advisory fees charged
under such advisory contract are based
on services provided that are in addition
to, rather than duplicative of, the
services provided under the advisory
contract(s) of any Underlying Fund in
which the Fund of Funds may invest.
These findings and their basis will be
recorded fully in the minute books of
the appropriate Fund of Funds.
10. The Adviser will waive fees
otherwise payable to it by the Fund of
Funds in an amount at least equal to any
compensation (including fees received
pursuant to any plan adopted by an
Other Group Management Company
under rule 12b–1 under the Act)
received from an Other Group
Management Company by the Adviser,
or an affiliated person of the Adviser,
other than any advisory fees paid to the
Adviser or its affiliated person by the
Other Group Management Company, in
connection with the investment by the
Fund of Funds in the Other Group
Management Company. Any Subadviser
will waive fees otherwise payable to the
Subadviser, directly or indirectly, by the
Fund of Funds in an amount at least
equal to any compensation received
from an Other Group Fund by the
Subadviser, or an affiliated person of the
Subadviser, other than any advisory fees
paid to the Subadviser or its affiliated
person by the Other Group Management
Company, in connection with the
investment by the Fund of Funds in the
Other Group Fund made at the direction
of the Subadviser. In the event that the
Subadviser waives fees, the benefit of
the waiver will be passed through to the
Fund of Funds.
11. Any sales charges and/or service
fees charged with respect to shares of a
Fund of Funds will not exceed the
limits applicable to a fund of funds as
set forth in NASD Conduct Rule 2830.
12. No Underlying Fund will acquire
securities of any other investment
company or company relying on section
3(c)(1) or 3(c)(7) of the Act in excess of
the limits contained in section
12(d)(1)(A) of the Act, except as may be
permitted by a Commission order
allowing an Underlying Fund to
purchase shares of an affiliated
investment company for short-term cash
management purposes or rule 12d–1
under the Act.
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Fmt 4703
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For the Commission, by the Division of
Investment Management, pursuant to
delegated authority.
Nancy M. Morris,
Secretary.
[FR Doc. E6–18256 Filed 10–30–06; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. PA–37; File No. S7–17–06]
Privacy Act of 1974: Establishment of
a New System of Records:
Photographic Files (SEC–54)
Securities and Exchange
Commission.
ACTION: Notice of the establishment of a
new system of records.
AGENCY:
SUMMARY: In accordance with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the
Securities and Exchange Commission
gives notice of a proposed Privacy Act
system of records: ‘‘Photographic Files
(SEC–54).’’ This system of records will
contain a collection of photographic
materials, in print and electronic format,
related to Commission staff and events.
DATES: The new system will become
effective December 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 November 30,
2006.
Comments may be
submitted by any of the following
methods:
ADDRESSES:
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 S7–17–06 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 S7–17–06. 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
E:\FR\FM\31OCN1.SGM
31OCN1
Federal Register / Vol. 71, No. 210 / Tuesday, October 31, 2006 / Notices
(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., Room 1580,
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,
Securities and Exchange Commission,
Operations Center, 6432 General Green
Way, Alexandria, VA 22312–2413, (202)
551–7209.
SUPPLEMENTARY INFORMATION: The
Commission gives notice of the
proposed establishment of a new system
of records entitled ‘‘Photographic Files
(SEC–54).’’ The new system of records
will contain photographic materials, in
print and electronic format, related to
Commission staff and events. Many of
the physical photographic materials are
old and fragile. Repeated handling of
these materials causes additional
damage. Digitizing this collection will
serve to preserve the materials and make
them accessible. The records may also
be indexed and therefore retrievable by
such data elements as date, event, and
personal name.
The Commission has submitted a
report of the new 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
adding a new system of records to read
as follows:
SYSTEM NAME
Photographic Files.
SYSTEM LOCATION:
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
cprice-sewell on PROD1PC66 with NOTICES
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, Departmental
Regulations.
Commission staff, visitors from other
Federal agencies and members of the
public.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records in the system include
photographic prints, negatives, and
15:25 Oct 30, 2006
Jkt 211001
PURPOSE(S):
Photographic files are provided to the
Securities and Exchange Commission
library (‘‘Library’’) on an ongoing basis
for inclusion in the Library’s collection.
Many of the photographic materials in
the collection are old and fragile.
Repeated handling of these materials
causes further damage. Digitizing this
collection will support the preservation
of these materials, and indexing the
collection by such information as date,
event, and personal name, will make
these materials accessible to
Commission staff and the public.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:
These records may be disclosed to the
public as follows:
(1) For reproduction by Commission
staff organizing such events as awards
ceremonies, farewell ceremonies and
receptions, Commission anniversary
ceremonies and receptions, and
Commission training and educational
programs;
(2) For distribution and presentation
for news, public relations and
community affairs purposes; and
(3) In support of research activities
conducted by staff of the Commission
and other Federal agencies, as well as
members of the public.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
The photographic prints, negatives,
and slides are stored in the
Commission’s Library in a locked file
room. These photographic materials will
be transferred to the Office of Filings
and Information Services after they have
been digitized. Digital images, along
with indexing data, will be stored on
secure Commission servers and made
available on the Commission’s intranets
and public Web site, as appropriate.
RETRIEVABILITY:
Records may be retrieved by such
information as date of event, name of
event, and/or name(s) of individual(s),
where such information is available.
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Fmt 4703
Sfmt 4703
SAFEGUARDS:
Physical photographic materials are
stored in a locked file room in the
Commission’s Library. The Library is in
a secured area. Digital records and
indexing data are stored on secure
servers. Server access is limited to
authorized personnel whose duties
require such access.
RETENTION AND DISPOSAL:
STORAGE:
SEC–54
VerDate Aug<31>2005
slides. Records may also include digital
photographs, as well as digitized images
of photographic prints, negatives, and
slides. Indexing data, including such
data elements as date, event, and
personal name, will be created for these
materials.
63811
Physical and electronic photographic
file records are permanent. Records will
be retired to Washington National
Records Center.
SYSTEM MANAGER(S) AND ADDRESS:
Cynthia Plisch, Assistant Director,
Reference and Information Services,
Securities and Exchange Commission,
Library, 100 F Street, NE., Room 1550,
Washington, DC 20549–1550, 202–551–
5450.
NOTIFICATION PROCEDURE:
Individuals seeking to determine
whether information about themselves
is contained in this system should
address written inquiries to: Privacy Act
Officer, Securities and Exchange
Commission, Operations Center, 6432
General Green Way, Mail Stop 0–7,
Alexandria, VA 22312–2413.
RECORD ACCESS PROCEDURES:
Persons wishing to obtain information
on the procedures for gaining access to,
or contesting the contents of, this record
may contact: Privacy Act Officer,
Securities and Exchange Commission,
Operations Center, 6432 General Green
Way, Mail Stop 0–7, Alexandria, VA
22312–2413.
CONTESTING RECORDS PROCEDURES:
See record access procedures above.
RECORD SOURCE CATEGORIES:
Photographic files are provided to the
Library for inclusion in the Library’s
collection on an ongoing basis. Donors
include Commission employees who
have photographed an event or
individuals donating their photographic
collections to the Library for the
purposes of preservation and access.
Indexing information is derived from
information recorded on photographs,
or from Commission staff or other
individuals who have knowledge of the
event and individuals photographed.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Dated: October 24, 2006.
By the Commission.
Nancy M. Morris,
Secretary.
[FR Doc. E6–18234 Filed 10–30–06; 8:45 am]
BILLING CODE 8011–01–P
E:\FR\FM\31OCN1.SGM
31OCN1
]]>Agencies
[Federal Register Volume 71, Number 210 (Tuesday, October 31, 2006)]
[Notices]
[Pages 63810-63811]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-18234]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-37; File No. S7-17-06]
Privacy Act of 1974: Establishment of a New System of Records:
Photographic Files (SEC-54)
AGENCY: Securities and Exchange Commission.
ACTION: Notice of the establishment of a new 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
gives notice of a proposed Privacy Act system of records:
``Photographic Files (SEC-54).'' This system of records will contain a
collection of photographic materials, in print and electronic format,
related to Commission staff and events.
DATES: The new system will become effective December 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 November 30, 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 S7-17-06 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 S7-17-06. 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
[[Page 63811]]
(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., Room 1580, 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, Securities and Exchange Commission, Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413, (202) 551-7209.
SUPPLEMENTARY INFORMATION: The Commission gives notice of the proposed
establishment of a new system of records entitled ``Photographic Files
(SEC-54).'' The new system of records will contain photographic
materials, in print and electronic format, related to Commission staff
and events. Many of the physical photographic materials are old and
fragile. Repeated handling of these materials causes additional damage.
Digitizing this collection will serve to preserve the materials and
make them accessible. The records may also be indexed and therefore
retrievable by such data elements as date, event, and personal name.
The Commission has submitted a report of the new 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 adding a new system of records to
read as follows:
SEC-54
SYSTEM NAME
Photographic Files.
SYSTEM LOCATION:
Securities and Exchange Commission, 100 F Street, NE., Washington,
DC 20549.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Commission staff, visitors from other Federal agencies and members
of the public.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records in the system include photographic prints, negatives,
and slides. Records may also include digital photographs, as well as
digitized images of photographic prints, negatives, and slides.
Indexing data, including such data elements as date, event, and
personal name, will be created for these materials.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301, Departmental Regulations.
PURPOSE(S):
Photographic files are provided to the Securities and Exchange
Commission library (``Library'') on an ongoing basis for inclusion in
the Library's collection. Many of the photographic materials in the
collection are old and fragile. Repeated handling of these materials
causes further damage. Digitizing this collection will support the
preservation of these materials, and indexing the collection by such
information as date, event, and personal name, will make these
materials accessible to Commission staff and the public.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
These records may be disclosed to the public as follows:
(1) For reproduction by Commission staff organizing such events as
awards ceremonies, farewell ceremonies and receptions, Commission
anniversary ceremonies and receptions, and Commission training and
educational programs;
(2) For distribution and presentation for news, public relations
and community affairs purposes; and
(3) In support of research activities conducted by staff of the
Commission and other Federal agencies, as well as members of the
public.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The photographic prints, negatives, and slides are stored in the
Commission's Library in a locked file room. These photographic
materials will be transferred to the Office of Filings and Information
Services after they have been digitized. Digital images, along with
indexing data, will be stored on secure Commission servers and made
available on the Commission's intranets and public Web site, as
appropriate.
RETRIEVABILITY:
Records may be retrieved by such information as date of event, name
of event, and/or name(s) of individual(s), where such information is
available.
SAFEGUARDS:
Physical photographic materials are stored in a locked file room in
the Commission's Library. The Library is in a secured area. Digital
records and indexing data are stored on secure servers. Server access
is limited to authorized personnel whose duties require such access.
RETENTION AND DISPOSAL:
Physical and electronic photographic file records are permanent.
Records will be retired to Washington National Records Center.
SYSTEM MANAGER(S) AND ADDRESS:
Cynthia Plisch, Assistant Director, Reference and Information
Services, Securities and Exchange Commission, Library, 100 F Street,
NE., Room 1550, Washington, DC 20549-1550, 202-551-5450.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether information about
themselves is contained in this system should address written inquiries
to: Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-
2413.
RECORD ACCESS PROCEDURES:
Persons wishing to obtain information on the procedures for gaining
access to, or contesting the contents of, this record may contact:
Privacy Act Officer, Securities and Exchange Commission, Operations
Center, 6432 General Green Way, Mail Stop 0-7, Alexandria, VA 22312-
2413.
CONTESTING RECORDS PROCEDURES:
See record access procedures above.
RECORD SOURCE CATEGORIES:
Photographic files are provided to the Library for inclusion in the
Library's collection on an ongoing basis. Donors include Commission
employees who have photographed an event or individuals donating their
photographic collections to the Library for the purposes of
preservation and access. Indexing information is derived from
information recorded on photographs, or from Commission staff or other
individuals who have knowledge of the event and individuals
photographed.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Dated: October 24, 2006.
By the Commission.
Nancy M. Morris,
Secretary.
[FR Doc. E6-18234 Filed 10-30-06; 8:45 am]
BILLING CODE 8011-01-P
