Privacy Act of 1974: Establishment of a System of Records, 46254-46256 [E9-21444]
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Federal Register / Vol. 74, No. 172 / Tuesday, September 8, 2009 / Notices
8. No trustee or officer of the Trust or
a Fund, or director, manager or officer
of the Adviser, will own, directly or
indirectly (other than through a pooled
investment vehicle that is not controlled
by such person), any interest in a
Subadviser, except for (i) ownership of
interests in the Adviser or any entity
that controls, is controlled by, or is
under common control with the
Adviser, or (ii) ownership of less than
1% of the outstanding securities of any
class of equity or debt of any publicly
traded company that is either a
Subadviser or an entity that controls, is
controlled by or is under common
control with a Subadviser.
9. In the event the Commission adopts
a rule under the Act providing
substantially similar relief to that in the
order requested in the Application, the
requested order will expire on the
effective date of that rule.
For the Commission, by the Division of
Investment Management, under delegated
authority.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–21494 Filed 9–4–09; 8:45 am]
jlentini on DSKJ8SOYB1PROD with NOTICES
SECURITIES AND EXCHANGE
COMMISSION
AGENCY: Securities and Exchange
Commission.
ACTION: Notice to establish a system of
records.
Sunshine Act Meeting
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 a Closed Meeting
on Thursday, September 10, 2009 at 2
p.m.
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 also may 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), (7), 9(B) and (10)
and 17 CFR 200.402(a)(3), (5), (7), 9(ii)
and (10), permit consideration of the
scheduled matters at the Closed
Meeting.
Commissioner Paredes, as duty
officer, voted to consider the items
listed for the Closed Meeting in a closed
session.
The subject matter of the Closed
Meeting scheduled for Thursday,
September 10, 2009 will be:
Institution and settlement of injunctive
actions;
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BILLING CODE P
Privacy Act of 1974: Establishment of
a System of Records
SECURITIES AND EXCHANGE
COMMISSION
17:32 Sep 04, 2009
Dated: September 3, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9–21716 Filed 9–3–09; 4:15 pm]
[Release No. PA–40; File No. S7–19–09]
BILLING CODE 8010–01–P
VerDate Nov<24>2008
Institution and settlement of
administrative proceedings; and
Other matters relating to enforcement
proceedings.
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.
SUMMARY: In accordance with the
requirements of the Privacy Act of 1974,
as amended, 5 U.S.C. 552a, the
Securities and Exchange Commission
(‘‘Commission’’ or ‘‘SEC’’) gives notice
of a proposed Privacy Act system of
records: ‘‘Ethics Conduct Rules Files
(SEC–60).’’ This system will contain
information related to applicable SEC
Ethics Conduct Rules (currently found
at 17 CFR Part 200 Subpart M),
including outside employment and
activities, and covered securities
transactions, securities holdings and
securities accounts.
DATES: The proposed system will
become effective October 13, 2009,
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 October 8, 2009.
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 rulecomments@sec.gov. Please include File
Number S7–19–09 on the subject line.
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Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–1090.
All submissions should refer to File
Number S7–19–09. 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, on official business days
between the hours of 10 a.m. and 3 p.m.
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,
Office of Information Technology, 202–
551–7209.
SUPPLEMENTARY INFORMATION: The
Commission gives notice of the
proposed establishment of a system of
records, entitled ‘‘Ethics Conduct Rules
Files (SEC–60).’’ The system will
contain information related 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.
On May 22, 2009, to consolidate
related responsibilities, the Commission
transferred all the Commission’s Ethics
Rules responsibilities that resided in the
Office of Human Resources (consisting
particularly of the administration of all
of the SEC Ethics Conduct Rules files)
to the Commission’s Ethics Office.
Consistent with the transfer of
responsibilities, the Commission is
establishing a system of records in the
Ethics Office to maintain records related
to the Ethics Conduct Rules applicable
to Commission Members and
employees, including reports on
securities transactions, holdings, and
accounts required by applicable Federal
securities laws and regulations.
The Commission has submitted a
report of the system of records to the
Senate Committee on Homeland
Security and Government Affairs, the
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Federal Register / Vol. 74, No. 172 / Tuesday, September 8, 2009 / Notices
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, 1966 (61 FR 6435).
Accordingly, the Commission is
establishing a system of records to read
as follows:
SEC–60
SYSTEM NAME:
Ethics Conduct Rules Files.
SYSTEM LOCATION:
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549.
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.
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):
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.
jlentini on DSKJ8SOYB1PROD with NOTICES
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 a Federal, State, or local law
enforcement agency if the disclosing
VerDate Nov<24>2008
17:32 Sep 04, 2009
Jkt 217001
agency becomes aware of a violation or
potential violation of law or regulation;
2. 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;
3. To a source when necessary to
obtain information relevant to a conflict
of interest or securities law investigation
or decision;
4. To the National Archives and
Records Administration or the General
Services Administration in records
management inspections;
5. To the Office of Management and
Budget during legislative coordination
on private relief legislation;
6. 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;
7. 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;
8. 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;
9. 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;
10. When (1) it is suspected or
confirmed that the security or
confidentiality of information in the
system of records has been
compromised; (2) the Commission 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
Commission or another agency or entity)
that rely upon the compromised
information; and (3) the disclosure is
made to such agencies, entities, and
persons who are reasonably necessary to
assist in connection with the
Commission’s efforts to respond to the
suspected or confirmed compromise
and prevent, minimize, or remedy such
harm; and
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46255
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.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
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
locked file rooms and/or metal file
cabinets.
RETRIEVABILITY:
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.
SAFEGUARDS:
Records are safeguarded in a secured
environment. Buildings where records
are stored have security cameras and 24
hour security guard service. Access is
limited to those personnel whose
official duties require access. Paper
records are maintained 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 through use of
access codes and information
technology security.
RETENTION AND DISPOSAL:
These records will be maintained for
6 years or otherwise in accordance with
records schedules of the Commission
and as approved by the National
Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
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.
NOTIFICATION PROCEDURE:
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 20549–5100.
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Federal Register / Vol. 74, No. 172 / Tuesday, September 8, 2009 / Notices
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 20549–5100.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Dated: September 1, 2009.
By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9–21444 Filed 9–4–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60586; File No. SR–BATS–
2009–026]
Self-Regulatory Organizations; BATS
Exchange, Inc.; Order Approving
Proposed Rule Change, as Modified by
Amendment No. 1 Thereto, To Amend
BATS Fee Schedule to Impose Fees for
Ports Used for Order Entry and Receipt
of Market Data
August 28, 2009.
jlentini on DSKJ8SOYB1PROD with NOTICES
On July 21, 2009, BATS Exchange,
Inc. (‘‘BATS’’ or ‘‘Exchange’’) filed with
the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to amend the fee schedule
applicable to Members 3 and nonmembers of the Exchange with respect
to ports used to enter orders into
Exchange systems and to receive data
from the Exchange. The proposed rule
change was published for comment in
the Federal Register on July 28, 2009.4
The Commission received no comments
regarding the proposal. On August 27,
2009, the Exchange filed Amendment
1 15
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 A Member is any registered broker or dealer that
has been admitted to membership in the Exchange.
See BATS Rule 1.5(n).
4 Securities Exchange Act Release No. 60364 (July
22, 2009), 74 FR 37285 (‘‘Notice’’).
VerDate Nov<24>2008
17:32 Sep 04, 2009
Jkt 217001
No. 1 to the proposed rule change.5 This
order grants approval of the proposed
rule change.
BATS proposes to begin charging a
monthly fee for ports used to enter
orders into the Exchange’s trading
system and to receive data from the
Exchange.6 Specifically, the Exchange
proposes to charge $250.00 per month
per pair 7 of any port type other than a
Multicast PITCH Spin Server Port or a
GRP Port. Thus, the proposed charge
will apply to all Exchange FIX,
FIXDROP, DROP, TCP PITCH, TCP
FAST PITCH, and TOP ports.8 In
addition, the Exchange proposes to
provide all Exchange constituents that
receive the Exchange’s Multicast PITCH
feed with 12 pairs of Multicast PITCH
Spin Server Ports free of charge and, if
such ports are used, one free pair of GRP
Ports.9 The Exchange proposes to charge
such customers $250.00 per month per
additional pair of GRP Ports or
additional set of 12 pairs of Multicast
PITCH Spin Server Ports. Any Member
or non-member that has entered into the
appropriate agreements with the
Exchange is permitted to receive
Multicast PITCH Spin Server Ports and
GRP Ports from the Exchange.
The proposed rule change will apply
to Members that obtain ports for direct
access to the Exchange, non-member
service bureaus that act as a conduit for
orders entered by Exchange Members
that are their customers, and market
data recipients. The Exchange states that
it has previously provided ports free of
charge to all Members and non-members
that use such ports for order entry to the
Exchange or for receipt of market data.
However, the Exchange states that its
infrastructure costs have increased over
time. In addition, the Exchange believes
5 In Amendment No. 1, the Exchange replaced the
bracketed ‘‘[July]’’ with ‘‘[August]’’ in the proposed
rule text to reflect the fact that the current fee
schedule is dated August 1, 2009. Because the
change in Amendment No. 1 is technical in nature,
it is not subject to notice and comment.
6 The Commission notes that BATS will
implement the proposed port fees commencing on
the first day of the month immediately following
Commission approval of this proposed rule change
(or on the date of approval, if on the first business
day of a month). See Notice, supra note 4.
7 Each pair of ports will consist of one port at the
Exchange’s primary data center and one port at the
Exchange’s secondary data center.
8 BATS FIX ports are the only ports that may be
used to send orders and related instructions to the
Exchange. All other port types, including Multicast
PITCH and GRP Ports, permit Members and nonmembers to receive information from the Exchange.
9 The Exchange’s proposal to provide certain
ports free of charge to Multicast PITCH customers
is designed to encourage use of the Exchange’s
Multicast PITCH feed because it is a relatively new
offering by the Exchange and because the Exchange
believes that the feed is its most efficient feed and
will reduce infrastructure costs for both the
Exchange and those who utilize the feed.
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Frm 00177
Fmt 4703
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that providing ports free of charge has
not encouraged Members and nonmembers to reserve and maintain ports
efficiently, but rather, has led to a
significant number of ports that are
reserved and enabled by such market
participants, but are never used or are
under-used. Accordingly, the Exchange
believes that the imposition of port fees
will help the Exchange to continue to
maintain and improve its infrastructure,
while also encouraging Exchange
customers to request and enable only
the ports that are necessary for their
operations related to the Exchange.
The Commission has carefully
reviewed the proposed rule change and
finds that it is consistent with the
requirements of the Act and the rules
and regulations thereunder applicable to
a national securities exchange.10
Specifically, the Commission finds that
the proposal is consistent with Section
6(b)(4) of the Act,11 which requires the
equitable allocation of reasonable dues,
fees, and other charges among Exchange
Members and other persons using the
Exchange’s facilities, and Section 6(b)(5)
of the Act,12 which requires, among
other things, that the rules of a national
securities exchange be designed to
promote just and equitable principles of
trade, to remove impediments to and
perfect the mechanism of a free and
open market and a national market
system and, in general, to protect
investors and the public interest, and
not be designed to permit unfair
discrimination between customers,
issuers, brokers, or dealers. The
Commission also finds that the
proposed rule change is consistent with
Section 6(b)(8) of the Act,13 which
requires that the rules of an exchange
not impose a burden on competition not
necessary or appropriate in furtherance
of the purposes of the Act. Finally, the
Commission finds that the proposed
rule change is consistent with Rule
603(a) of Regulation NMS,14 which
requires an exclusive processor that
distributes information with respect to
quotations for or transactions in an NMS
stock to do so on terms that are fair and
reasonable and not unreasonably
discriminatory.
The Commission believes that the
proposed port fees are equitably
allocated among Members and nonmembers and do not unfairly or
unreasonably discriminate between
10 In approving this proposed rule change the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f).
11 15 U.S.C. 78f(b)(4).
12 15 U.S.C. 78f(b)(4).
13 15 U.S.C. 78f(b)(8).
14 17 CFR 242.603(a).
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]]>Agencies
[Federal Register Volume 74, Number 172 (Tuesday, September 8, 2009)]
[Notices]
[Pages 46254-46256]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-21444]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-40; File No. S7-19-09]
Privacy Act of 1974: Establishment of a System of Records
AGENCY: Securities and Exchange Commission.
ACTION: Notice to establish a 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
(``Commission'' or ``SEC'') gives notice of a proposed Privacy Act
system of records: ``Ethics Conduct Rules Files (SEC-60).'' This system
will contain information related to applicable SEC Ethics Conduct Rules
(currently found at 17 CFR Part 200 Subpart M), including outside
employment and activities, and covered securities transactions,
securities holdings and securities accounts.
DATES: The proposed system will become effective October 13, 2009,
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 October 8,
2009.
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 S7-19-09 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number S7-19-09. 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, on
official business days between the hours of 10 a.m. and 3 p.m. 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, Office of Information Technology, 202-551-7209.
SUPPLEMENTARY INFORMATION: The Commission gives notice of the proposed
establishment of a system of records, entitled ``Ethics Conduct Rules
Files (SEC-60).'' The system will contain information related 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.
On May 22, 2009, to consolidate related responsibilities, the
Commission transferred all the Commission's Ethics Rules
responsibilities that resided in the Office of Human Resources
(consisting particularly of the administration of all of the SEC Ethics
Conduct Rules files) to the Commission's Ethics Office. Consistent with
the transfer of responsibilities, the Commission is establishing a
system of records in the Ethics Office to maintain records related to
the Ethics Conduct Rules applicable to Commission Members and
employees, including reports on securities transactions, holdings, and
accounts required by applicable Federal securities laws and
regulations.
The Commission has submitted a report of the system of records to
the Senate Committee on Homeland Security and Government Affairs, the
[[Page 46255]]
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, 1966 (61 FR 6435).
Accordingly, the Commission is establishing a system of records to
read as follows:
SEC-60
SYSTEM NAME:
Ethics Conduct Rules Files.
SYSTEM LOCATION:
Securities and Exchange Commission, 100 F Street, NE., Washington,
DC 20549.
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.
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):
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.
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 a Federal, State, or local law enforcement agency if the
disclosing agency becomes aware of a violation or potential violation
of law or regulation;
2. 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;
3. To a source when necessary to obtain information relevant to a
conflict of interest or securities law investigation or decision;
4. To the National Archives and Records Administration or the
General Services Administration in records management inspections;
5. To the Office of Management and Budget during legislative
coordination on private relief legislation;
6. 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;
7. 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;
8. 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;
9. 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;
10. When (1) it is suspected or confirmed that the security or
confidentiality of information in the system of records has been
compromised; (2) the Commission 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 Commission or another agency or entity) that rely
upon the compromised information; and (3) the disclosure is made to
such agencies, entities, and persons who are reasonably necessary to
assist in connection with the Commission's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such
harm; 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
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 locked file
rooms and/or metal file cabinets.
RETRIEVABILITY:
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.
SAFEGUARDS:
Records are safeguarded in a secured environment. Buildings where
records are stored have security cameras and 24 hour security guard
service. Access is limited to those personnel whose official duties
require access. Paper records are maintained 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
through use of access codes and information technology security.
RETENTION AND DISPOSAL:
These records will be maintained for 6 years or otherwise in
accordance with records schedules of the Commission and as approved by
the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
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.
NOTIFICATION PROCEDURE:
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 20549-5100.
[[Page 46256]]
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 20549-5100.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
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.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
Dated: September 1, 2009.
By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-21444 Filed 9-4-09; 8:45 am]
BILLING CODE 8010-01-P
