Privacy Act of 1974; System of Records, 6905-6908 [2018-03101]
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Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Access to SEC facilities, data centers,
and information or information systems
is limited to authorized personnel with
official duties requiring access. SEC
facilities are equipped with security
cameras and 24 hour security guard
service. The records are kept in limited
access areas during duty hours and in
locked file cabinets and/or locked
offices or file rooms at all other times.
Computerized records are safeguarded
in a secured, encrypted environment.
Security protocols meet the
promulgating guidance as established by
the National Institute of Standards and
Technology (NIST) Security Standards
from Access Control to Data Encryption
and Security Assessment &
Authorization (SA&A). Records will be
maintained in a secure, passwordprotected electronic system that will
utilize commensurate safeguards that
may include: Firewalls, intrusion
detection and prevention systems, and
role-based access controls. Additional
safeguards will vary by program. All
records are protected from unauthorized
access through appropriate
administrative, operational, and
technical safeguards. These safeguards
include: Restricting access to authorized
personnel who have a ‘‘need to know’’;
using locks; and password protection
identification features. Contractors and
other recipients providing services to
the Commission shall be required to
maintain equivalent safeguards.
RECORD ACCESS PROCEDURES:
Persons wishing to obtain information
on the procedures for gaining access to
or contesting the contents of these
records may contact the FOIA/PA
Officer, Securities and Exchange
Commission, 100 F Street NE, Mail Stop
5100, Washington, DC 20549–2736.
CONTESTING RECORD PROCEDURES:
See Record Access Procedures above.
NOTIFICATION PROCEDURES:
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All requests to determine whether this
system of records contains a record
pertaining to the requesting individual
may be directed to the FOIA/PA Officer,
Securities and Exchange Commission,
100 F Street NE, Mail Stop 5100,
Washington, DC 20549–2736.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
This SORN was last published in full
in the Federal Register at 40 FR 39253
(August 27, 1975). Subsequent notices
of revision can be found at the following
citations:
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—41 FR 5318 (February 5, 1976)
—41 FR 11631 (March 19, 1976)
—41 FR 41591 (September 22, 1976)
—42 FR 36333 (July 14, 1977)
—46 FR 63439 (December 31, 1981)
—50 FR 37750 (September 17, 1985)
—62 FR 47884 (September 11, 1997)
—72 FR 2036 (January 17, 2007)
By the Commission.
Dated: February 9, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018–03100 Filed 2–14–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. PA–54; File No. S7–02–18]
Privacy Act of 1974; System of
Records
Securities and Exchange
Commission.
ACTION: Rescindment of system of
records notice.
AGENCY:
Pursuant to the Privacy Act of
1974 and Office of Management and
Budget (OMB) Circular No. A–108, the
Securities and Exchange Commission
(Commission or SEC) purposes to
rescind 33 existing systems of records.
The Notice of Rescindment identifies
the system of records, explains why the
SORN is being rescinded, and provides
an account of what will happen to the
records previously maintained in the
system.
SUMMARY:
The rescindments will become
effective on March 27, 2018.
ADDRESSES: Comments may be
submitted by any of the following
methods:
DATES:
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/other.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number S7–
02–18 on the subject line.
Paper Comments
Send paper comments in triplicate to
Brent J. Fields, Secretary, U.S. Securities
and Exchange Commission, 100 F Street
NE, Washington, DC 20549–1090. All
submissions should refer to S7–02–18.
This file number should be included on
the subject line if email is used. To help
process and review your comments
more efficiently, please use only one
method. The Commission will post all
comments on the Commission’s internet
website (https://www.sec.gov/rules/
other.shtml). Comments are also
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available for website viewing and
printing 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:
Ronnette McDaniel, Privacy and
Information Assurance Branch Chief,
202–551–8378 or privacyhelp@sec.gov.
SUPPLEMENTARY INFORMATION: Thirtythree systems were identified for
rescindment from the SEC’s Privacy Act
systems of records inventory. SORNs
were identified for rescindment for one
of four reasons: The records (1) are not
Privacy Act records; (2) will be
maintained as part of a new or modified
system of records; (3) are duplicative,
and covered by another SEC system of
records; or (4) are obsolete and no
longer maintained by the SEC. A
description of each rescindment
justification, the applicable SORNs, and
an account of what happened to the
records is as follows:
1. Not a Privacy Act System of Records
Mere maintenance of personal
information about an individual is not
enough to create a Privacy Act system
of records. To satisfy the elements of a
system of records, there must be (1) a
group of records; (2) under the control
of a government agency; and (3) those
records must be retrieved by a name or
other personal identifier. When one
condition is no longer met, the
collection ceases to qualify as a system
of records. Accordingly, the following
SORNs were identified for rescindment
as they no longer qualify as a Privacy
Act system of records.
1. SEC–12: Hearings, Proceedings and
Studies. These records are no longer
retrieved by a personal identifier.
Records are now retrieved using a date
or the name of an event.
2. SEC–13: No-action and
Interpretative Letters. These records are
no longer retrieved by a personal
identifier. Records are now retrieved by
company name and law firm name.
3. SEC–21: Division of Investment
Management Correspondence and
Memoranda Files. These records are no
longer retrieved by a personal identifier.
Records are now retrieved by date, title,
or company name.
4. SEC–27: Name-Relationship Search
Index (NRSI). Under the Privacy Act, a
record is defined as ‘‘any item,
collection, or grouping of information
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about an individual that is maintained
by an agency.’’ Since 2000, the NRSI has
stopped maintaining records on
individuals. NRSI is used as a search
tool, to search records in other SEC
systems; it does not store or maintain
data within the system.
2. Maintained as Part of a New or
Modified Systems of Records
In accordance with the directive of
OMB, ‘‘if records in a system of records
will be combined with another system
of records or maintained as part of a
new system of records, [agencies shall
draft a] notice of rescindment [and]
shall direct members of the public to the
SORN for the system that will include
the relevant records.’’ Accordingly, the
following SORNs were identified for
rescindment. The records will be
maintained as part of a new or modified
system of records as described below:
1. SEC–01: Registration Statements
Filed Pursuant to Provisions of the
Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility
Holding Company Act of 1935, and
Investment Company Act of 1940.
Records in this system will be
consolidated in multiple systems of
records. Records collected, maintained
and used to assist the Division of
Corporation Finance would be
consolidated into new SORN SEC–68.
Records collected, maintained and used
to assist the Division of Investment
Management would be consolidated
into new SORN SEC–69.
2. SEC–02: Applications for
Registration or Exemption under the
Investment Company Act of 1940.
Records collected, maintained and used
to assist the Division of Investment
Management would be consolidated
into new SORN SEC–69.
3. SEC–03: Notification of Exemption
from Registration under the Securities
Act of 1933. Records collected,
maintained and used to assist the
Division of Corporation Finance would
be consolidated into new SORN SEC–
68.
4. SEC–04: Beneficial Ownership,
Acquisition, Tender Offer, and
Solicitation Records Filed under the
Securities Exchange Act of 1934.
Records collected, maintained and used
to assist the Division of Corporation
Finance would be consolidated into
new SORN SEC–68.
5. SEC–05: Ownership Reports and
Insider Trading Transaction Records
Filed under the Securities Exchange Act
of 1934, Public Utility Holding
Company Act of 1935, and Investment
Company Act of 1940. Records
collected, maintained and used to assist
the Division of Corporation Finance
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would be consolidated into new SORN
SEC–68.
6. SEC–06: 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.
Records in this system will be
consolidated in multiple systems of
records. Records collected, maintained
and used to assist the Division of
Corporation Finance would be
consolidated into new SORN SEC–68.
Records collected, maintained and used
to assist the Division of Investment
Management would be consolidated
into new SORN SEC–69.
7. SEC–07: Proposed Sale of
Securities Records Filed under the
Securities Act of 1933. Records
collected, maintained and used to assist
the Division of Corporation Finance
would be consolidated into new SORN
SEC–68.
8. SEC–08: Proxy Soliciting Material
Filed under the Securities Exchange Act
of 1934, Public Utility Holding
Company Act of 1935, and Investment
Company Act of 1940. Records in this
system will be consolidated in multiple
systems of records. Records collected,
maintained and used to assist the
Division of Corporation Finance would
be consolidated into new SORN SEC–
68. Records collected, maintained and
used to assist the Division of Investment
Management would be consolidated
into new SORN SEC–69.
9. SEC–09: Correspondence Files
Pertaining to Registered Broker-Dealers.
Records collected, maintained and used
to assist the Division of Trading and
Markets would be consolidated into
new SORN SEC–70.
10. SEC–10: Correspondence Files
Pertaining to Registered Investment
Advisers. Records collected, maintained
and used to assist the Division of
Investment Management would be
consolidated into new SORN SEC–69.
11. SEC–11: Correspondence Files
Pertaining to Registered Investment
Companies. Records collected,
maintained and used to assist the
Division of Investment Management
would be consolidated into new SORN
SEC–69.
12. SEC–18: Applications for Relief
from Disqualification Filed Under the
Securities Act of 1933 and the
Commission’s Rules of Practice. Records
in this system will be consolidated in
multiple systems of records. Records
collected, maintained and used to assist
the Office of General Counsel would be
consolidated into modified SORN SEC–
31. Records collected, maintained and
used to assist the Division of
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Corporation Finance would be
consolidated into new SORN SEC–68.
Records collected, maintained and used
to assist the Division of Investment
Management would be consolidated
into new SORN SEC–69.
13. SEC–20: Division of Corporation
Finance Index for Filings on Schedule
13D and Filings under Regulations A
and B. Records collected, maintained
and used to assist the Division of
Corporation Finance would be
consolidated into new SORN SEC–68.
14. SEC–30: Office of General Counsel
Work Files. Records collected,
maintained and used to assist the Office
of General Counsel would be
consolidated into modified SORN SEC–
31.
15. SEC–32: Rule 102(e) of the
Commission’s Rules of Practice—
Appearance and Practice Before the
Commission. Records collected,
maintained and used to assist the Office
of General Counsel would be
consolidated into modified SORN SEC–
31.
16. SEC–37: Automated Personnel
Management Information System.
Records collected, maintained and used
to assist the Office of Human Resources
would be consolidated into modified
SORN SEC–39.
17. SEC–40: Office of Personnel
Training Files. Records collected,
maintained and used to assist the Office
of Human Resources would be
consolidated into modified SORN SEC–
39.
18. SEC–49: Broker-Dealer Records.
Records collected, maintained and used
to assist the Division of Trading and
Markets would be consolidated into
new SORN SEC–70.
19. SEC–50: Investment Adviser
Records. Records collected, maintained
and used to assist the Division of
Investment Management would be
consolidated into new SORN SEC–69.
3. Duplicative of Another SEC SORN
OMB requires that each agency
provide assurance that systems of
records do not duplicate any existing
agency or government-wide systems of
records. Accordingly, the following
SORNs were identified for rescindment.
1. SEC–23: Staff Time and Activity
Tracking System (STATS). The records
in SEC–23 are duplicative of and share
the same purpose as the records in
SORN SEC–15: Payroll, Attendance,
Retirement and Leave Records, 75 FR
17978 (April 8, 2010).
2. SEC–25: Office of Public Affairs,
Policy Evaluation and Research
Records. The following records in SEC–
25 are no longer used or maintained by
the Office of Public Affairs and are
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recommended for elimination from the
notice: Speeches by Commissioners and
other Commission officials. The
remaining item in the categories of
records is a contact list, which contains
the names, telephone numbers and
addresses of news reporters and editors.
The contact list is essential and
necessary in order to conduct official
business and is duplicative of records
maintained in SEC–56: Mailing, Contact
and Other Lists, 74 FR 36281 (July 22,
2009).
3. SEC–34: Administrative
Proceedings Records Cards. The records
in SEC–34 are duplicative of and share
the same purpose as the records in
SORN SEC–36: Administrative
Proceeding Files, 79 FR 69894
(November 24, 2014).
4. SEC–53: Automated Emergency
Notification System. The records in
SEC–53 are duplicative of the records in
SORN SEC–51: Emergency Contingency
Plan System, 68 FR 23168 (April 30,
2003).
5. SEC–59: Office of Interpretation
and Guidance Log; Office of BrokerDealer Finances NRSRO Log; Office of
Financial Responsibility Log. The
records related to broker-dealer finances
were consolidated in to the new SORN
SEC–70. All remaining records in SEC–
59 are duplicative of and share the same
purpose as the records in SORN SEC–
56: Mailing, Contact and Other Lists, 74
FR 36281 (July 22, 2009).
4. Obsolete Systems
The Privacy Act provides that an
agency may only collect or maintain in
its records information about
individuals that is relevant and
necessary to accomplish a purpose that
is required by a statute or executive
order. If a system of records is
comprised of records that no longer
meet this standard, the Privacy Act may
require agencies to stop maintaining the
system and expunge the records in
accordance with the requirements in the
SORN and the applicable record
retention or disposition schedule
approved by the National Archives and
Records Administration. System
managers have deemed the following
systems obsolete and have declared that
the records are no longer relevant to
accomplish an agency mission/purpose.
Accordingly, the following SORNs were
identified for rescindment:
1. SEC–22: Executive/Congressional
Personnel Referrals
2. SEC–26: Confidential Treatment
Request Imaging System
3. SEC–35: Securities Violations
Records and Bulletin
4. SEC–44: Ridesharing System
5. SEC–47: Disgorgement and Penalties
Tracking System
SYSTEM NAME AND NUMBER
1. SEC–01 Registration Statements
Filed Pursuant to Provisions of the
Securities Act of 1933, Securities
Exchange Act of 1934, Public Utility
Holding Company Act of 1935, and
Investment Company Act of 1940.
2. SEC–02 Applications for
Registration or Exemption under the
Investment Company Act of 1940.
3. SEC–03 Notification of Exemption
from Registration under the Securities
Act of 1933.
4. SEC–04 Beneficial Ownership,
Acquisition, Tender Offer, and
Solicitation Records Filed under the
Securities Exchange Act of 1934.
5. SEC–05 Ownership Reports and
Insider Trading Transaction Records
Filed under the Securities Exchange Act
of 1934, Public Utility Holding
Company Act of 1935, and Investment
Company Act of 1940.
6. SEC–06 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.
7. SEC–07 Proposed Sale of
Securities Records Filed under the
Securities Act of 1933.
8. SEC–08 Proxy Soliciting Material
Filed under the Securities Exchange Act
of 1934, Public Utility Holding
Company Act of 1935, and Investment
Company Act of 1940.
9. SEC–09 Correspondence Files
Pertaining to Registered Broker-Dealers.
10. SEC–10 Correspondence Files
Pertaining to Registered Investment
Advisers.
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System No.
SEC–01
SEC–02
SEC–03
SEC–04
SEC–05
SEC–06
SEC–07
SEC–08
SEC–09
...................
...................
...................
...................
...................
...................
...................
...................
...................
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11. SEC–11 Correspondence Files
Pertaining to Registered Investment
Companies.
12. SEC–12, Hearings, Proceedings
and Studies.
13. SEC–13, No-action and
Interpretative Letters.
14. SEC–18 Applications for Relief
From Disqualification Filed Under the
Securities Act of 1933 and the
Commission’s Rules of Practice.
15. SEC–20 Division of Corporation
Finance Index for Filings on Schedule
13D and Filings under Regulations A
and B.
16. SEC–21, Division of Investment
Management Correspondence and
Memoranda Files.
17. SEC–22, Executive/Congressional
Personnel Referrals.
18. SEC–23: Staff Time and Activity
Tracking System (STATS).
19. SEC–25, Office of Public Affairs,
Policy Evaluation and Research
Records.
20. SEC–26, Confidential Treatment
Request Imaging System.
21. SEC–27, Name-Relationship
Search Index (NRSI).
22. SEC–30 Office of General
Counsel Work Files.
23. SEC–32 Rule 102(e) of the
Commission’s Rules of Practice—
Appearance and Practice Before the
Commission.
24. SEC–34, Administrative
Proceedings Records Cards.
25. SEC–35, Securities Violations
Records and Bulletin.
26. SEC–37: Automated Personnel
Management Information System.
27. SEC–40: Office of Personnel
Training Files.
28. SEC–44, Ridesharing System.
29. SEC–47, Disgorgement and
Penalties Tracking System.
30. SEC–49 Broker-Dealer Records.
31. SEC–50 Investment Adviser
Records.
32. SEC–53, Automated Emergency
Notification System.
33. SEC–59, Office of Interpretation
and Guidance Log; Office of BrokerDealer Finances NRSRO Log; Office of
Financial Responsibility Log.
HISTORY:
Federal Register No. and publication date
40
40
40
40
40
40
40
40
40
FR
FR
FR
FR
FR
FR
FR
FR
FR
39253
39253
39253
39253
39253
39253
39253
39253
39253
19:01 Feb 14, 2018
(August
(August
(August
(August
(August
(August
(August
(August
(August
Jkt 244001
27,
27,
27,
27,
27,
27,
27,
27,
27,
1975).
1975); 64 FR 69051 (December 9, 1999); and 66 FR 7820 (January 25, 2001).
1975) and 46 FR 44328 (September 3, 1981).
1975).
1975).
1975) and 59 FR 27626 (May 27, 1994).
1975) and 59 FR 27626 (May 27, 1994).
1975) and 59 FR 27626 (May 27, 1994).
1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
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System No.
SEC–10
SEC–11
SEC–12
SEC–13
SEC–18
SEC–20
SEC–21
SEC–22
...................
...................
...................
...................
...................
...................
...................
...................
SEC–23 ...................
SEC–25 ...................
SEC–26 ...................
SEC–27 ...................
SEC–30
SEC–32
SEC–34
SEC–35
SEC–37
...................
...................
...................
...................
...................
SEC–40 ...................
SEC–44
SEC–47
SEC–49
SEC–50
SEC–53
SEC–59
...................
...................
...................
...................
...................
...................
Federal Register No. and publication date
40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1997).
40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
40 FR 39253 (August 27, 1975); 77 FR 65913 (October 31, 2012); and 78 FR 41962 (July 12, 2013).
40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 56 FR 24103 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
44 FR 7002 (February 5, 1979); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
41 FR 5318 (February 5, 1976); 42 FR 36333 (July 14, 1977); 46 FR 22091 (April 15, 1981); 49 FR 28498 (July 12,
1984); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997).
62 FR 47889 (September 11, 1997).
40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 49 FR 28498 (July 12, 1984); 56 FR 24103 (May 27,
1994); and 62 FR 47884 (September 14, 1997).
40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1994).
40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997).
40 FR 39253 (August 27, 1975).
43 FR 21769 (May 19, 1978); 46 FR 31128 (June 12, 1981); 56 FR 24103 (June 3, 1991); 57 FR 14594 (April 21, 1992);
59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 14, 1997).
40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 42 FR 36333 (July 14, 1977); 56 FR 24103 (June 1,
1991); and 62 FR 479884 (September 11, 1997).
63 FR 37423 (July 10, 1998).
64 FR 19840 (April 22, 1999).
64 FR 69051 (December 9, 1999).
66 FR 7820 (January 25, 2001).
71 FR 3907 (January 24, 2006).
74 FR 36281 (July 22, 2009).
By the Commission.
Dated: February 9, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018–03101 Filed 2–14–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
sradovich on DSK3GMQ082PROD with NOTICES
Rule 17g–8 & 9, SEC File No. 270–645,
OMB Control No. 3235–0693.
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
(‘‘Commission’’) is soliciting comments
on the existing collection of information
provided for in Rule 17g–8 and 17g–9
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).1 The
Commission plans to submit this
existing collection of information to the
Office of Management and Budget for
extension and approval.
Rule 17g–8 contains certain
requirements for Nationally Recognized
1 See
17 CFR 240.17g–1 and 17 CFR 249b.300.
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Statistical Rating Organizations
(‘‘NRSROs’’) to have policies and
procedures with respect to the
procedures and methodologies the
NRSRO uses to determine credit ratings,
with respect to the symbols, numbers, or
scores it uses to denote credit ratings, to
address instances in which a look-back
review determines that a conflict of
interest influenced a credit rating, and
to consider certain prescribed factors for
an effective internal structure. Rule 17g–
9 contains requirements for NRSROs to
ensure that any person employed by an
NRSRO to determine credit ratings
meets standards necessary to produce
accurate ratings. Currently, there are 10
credit rating agencies registered as
NRSROs with the Commission. The
Commission estimates that the total
burden for respondents to comply with
Rule 17g–8 is 1,450 hours and to
comply with Rule 17g–9 is 25,004
hours.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
Commission, including whether the
information shall have practical utility;
(b) the accuracy of the Commission’s
estimates of the burden of the proposed
collection of information; (c) ways to
enhance the quality, utility, and clarity
of the information on respondents; and
(d) ways to minimize the burden of the
collection of information on
respondents, including through the use
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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.
The Commission may not conduct or
sponsor a collection of information
unless it displays a currently valid
control number. No person shall be
subject to any penalty for failing to
comply with a collection of information
subject to the PRA that does not display
a valid Office of Management and
Budget (OMB) control number.
Please direct your written comments
to: Pamela Dyson, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Remi PavlikSimon, 100 F St NE, Washington, DC
20549 or send an email to: PRA_
Mailbox@sec.gov.
Dated: February 9, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–03096 Filed 2–14–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
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]]>Agencies
[Federal Register Volume 83, Number 32 (Thursday, February 15, 2018)]
[Notices]
[Pages 6905-6908]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-03101]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. PA-54; File No. S7-02-18]
Privacy Act of 1974; System of Records
AGENCY: Securities and Exchange Commission.
ACTION: Rescindment of system of records notice.
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SUMMARY: Pursuant to the Privacy Act of 1974 and Office of Management
and Budget (OMB) Circular No. A-108, the Securities and Exchange
Commission (Commission or SEC) purposes to rescind 33 existing systems
of records. The Notice of Rescindment identifies the system of records,
explains why the SORN is being rescinded, and provides an account of
what will happen to the records previously maintained in the system.
DATES: The rescindments will become effective on March 27, 2018.
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 email to [email protected]. Please include
File Number S7-02-18 on the subject line.
Paper Comments
Send paper comments in triplicate to Brent J. Fields, Secretary,
U.S. Securities and Exchange Commission, 100 F Street NE, Washington,
DC 20549-1090. All submissions should refer to S7-02-18. This file
number should be included on the subject line if email is used. To help
process and review your comments more efficiently, please use only one
method. The Commission will post all comments on the Commission's
internet website (https://www.sec.gov/rules/other.shtml). Comments are
also available for website viewing and printing 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: Ronnette McDaniel, Privacy and
Information Assurance Branch Chief, 202-551-8378 or
[email protected].
SUPPLEMENTARY INFORMATION: Thirty-three systems were identified for
rescindment from the SEC's Privacy Act systems of records inventory.
SORNs were identified for rescindment for one of four reasons: The
records (1) are not Privacy Act records; (2) will be maintained as part
of a new or modified system of records; (3) are duplicative, and
covered by another SEC system of records; or (4) are obsolete and no
longer maintained by the SEC. A description of each rescindment
justification, the applicable SORNs, and an account of what happened to
the records is as follows:
1. Not a Privacy Act System of Records
Mere maintenance of personal information about an individual is not
enough to create a Privacy Act system of records. To satisfy the
elements of a system of records, there must be (1) a group of records;
(2) under the control of a government agency; and (3) those records
must be retrieved by a name or other personal identifier. When one
condition is no longer met, the collection ceases to qualify as a
system of records. Accordingly, the following SORNs were identified for
rescindment as they no longer qualify as a Privacy Act system of
records.
1. SEC-12: Hearings, Proceedings and Studies. These records are no
longer retrieved by a personal identifier. Records are now retrieved
using a date or the name of an event.
2. SEC-13: No-action and Interpretative Letters. These records are
no longer retrieved by a personal identifier. Records are now retrieved
by company name and law firm name.
3. SEC-21: Division of Investment Management Correspondence and
Memoranda Files. These records are no longer retrieved by a personal
identifier. Records are now retrieved by date, title, or company name.
4. SEC-27: Name-Relationship Search Index (NRSI). Under the Privacy
Act, a record is defined as ``any item, collection, or grouping of
information
[[Page 6906]]
about an individual that is maintained by an agency.'' Since 2000, the
NRSI has stopped maintaining records on individuals. NRSI is used as a
search tool, to search records in other SEC systems; it does not store
or maintain data within the system.
2. Maintained as Part of a New or Modified Systems of Records
In accordance with the directive of OMB, ``if records in a system
of records will be combined with another system of records or
maintained as part of a new system of records, [agencies shall draft a]
notice of rescindment [and] shall direct members of the public to the
SORN for the system that will include the relevant records.''
Accordingly, the following SORNs were identified for rescindment. The
records will be maintained as part of a new or modified system of
records as described below:
1. SEC-01: Registration Statements Filed Pursuant to Provisions of
the Securities Act of 1933, Securities Exchange Act of 1934, Public
Utility Holding Company Act of 1935, and Investment Company Act of
1940. Records in this system will be consolidated in multiple systems
of records. Records collected, maintained and used to assist the
Division of Corporation Finance would be consolidated into new SORN
SEC-68. Records collected, maintained and used to assist the Division
of Investment Management would be consolidated into new SORN SEC-69.
2. SEC-02: Applications for Registration or Exemption under the
Investment Company Act of 1940. Records collected, maintained and used
to assist the Division of Investment Management would be consolidated
into new SORN SEC-69.
3. SEC-03: Notification of Exemption from Registration under the
Securities Act of 1933. Records collected, maintained and used to
assist the Division of Corporation Finance would be consolidated into
new SORN SEC-68.
4. SEC-04: Beneficial Ownership, Acquisition, Tender Offer, and
Solicitation Records Filed under the Securities Exchange Act of 1934.
Records collected, maintained and used to assist the Division of
Corporation Finance would be consolidated into new SORN SEC-68.
5. SEC-05: Ownership Reports and Insider Trading Transaction
Records Filed under the Securities Exchange Act of 1934, Public Utility
Holding Company Act of 1935, and Investment Company Act of 1940.
Records collected, maintained and used to assist the Division of
Corporation Finance would be consolidated into new SORN SEC-68.
6. SEC-06: 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. Records in this system will be consolidated in multiple systems
of records. Records collected, maintained and used to assist the
Division of Corporation Finance would be consolidated into new SORN
SEC-68. Records collected, maintained and used to assist the Division
of Investment Management would be consolidated into new SORN SEC-69.
7. SEC-07: Proposed Sale of Securities Records Filed under the
Securities Act of 1933. Records collected, maintained and used to
assist the Division of Corporation Finance would be consolidated into
new SORN SEC-68.
8. SEC-08: Proxy Soliciting Material Filed under the Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935, and
Investment Company Act of 1940. Records in this system will be
consolidated in multiple systems of records. Records collected,
maintained and used to assist the Division of Corporation Finance would
be consolidated into new SORN SEC-68. Records collected, maintained and
used to assist the Division of Investment Management would be
consolidated into new SORN SEC-69.
9. SEC-09: Correspondence Files Pertaining to Registered Broker-
Dealers. Records collected, maintained and used to assist the Division
of Trading and Markets would be consolidated into new SORN SEC-70.
10. SEC-10: Correspondence Files Pertaining to Registered
Investment Advisers. Records collected, maintained and used to assist
the Division of Investment Management would be consolidated into new
SORN SEC-69.
11. SEC-11: Correspondence Files Pertaining to Registered
Investment Companies. Records collected, maintained and used to assist
the Division of Investment Management would be consolidated into new
SORN SEC-69.
12. SEC-18: Applications for Relief from Disqualification Filed
Under the Securities Act of 1933 and the Commission's Rules of
Practice. Records in this system will be consolidated in multiple
systems of records. Records collected, maintained and used to assist
the Office of General Counsel would be consolidated into modified SORN
SEC-31. Records collected, maintained and used to assist the Division
of Corporation Finance would be consolidated into new SORN SEC-68.
Records collected, maintained and used to assist the Division of
Investment Management would be consolidated into new SORN SEC-69.
13. SEC-20: Division of Corporation Finance Index for Filings on
Schedule 13D and Filings under Regulations A and B. Records collected,
maintained and used to assist the Division of Corporation Finance would
be consolidated into new SORN SEC-68.
14. SEC-30: Office of General Counsel Work Files. Records
collected, maintained and used to assist the Office of General Counsel
would be consolidated into modified SORN SEC-31.
15. SEC-32: Rule 102(e) of the Commission's Rules of Practice--
Appearance and Practice Before the Commission. Records collected,
maintained and used to assist the Office of General Counsel would be
consolidated into modified SORN SEC-31.
16. SEC-37: Automated Personnel Management Information System.
Records collected, maintained and used to assist the Office of Human
Resources would be consolidated into modified SORN SEC-39.
17. SEC-40: Office of Personnel Training Files. Records collected,
maintained and used to assist the Office of Human Resources would be
consolidated into modified SORN SEC-39.
18. SEC-49: Broker-Dealer Records. Records collected, maintained
and used to assist the Division of Trading and Markets would be
consolidated into new SORN SEC-70.
19. SEC-50: Investment Adviser Records. Records collected,
maintained and used to assist the Division of Investment Management
would be consolidated into new SORN SEC-69.
3. Duplicative of Another SEC SORN
OMB requires that each agency provide assurance that systems of
records do not duplicate any existing agency or government-wide systems
of records. Accordingly, the following SORNs were identified for
rescindment.
1. SEC-23: Staff Time and Activity Tracking System (STATS). The
records in SEC-23 are duplicative of and share the same purpose as the
records in SORN SEC-15: Payroll, Attendance, Retirement and Leave
Records, 75 FR 17978 (April 8, 2010).
2. SEC-25: Office of Public Affairs, Policy Evaluation and Research
Records. The following records in SEC-25 are no longer used or
maintained by the Office of Public Affairs and are
[[Page 6907]]
recommended for elimination from the notice: Speeches by Commissioners
and other Commission officials. The remaining item in the categories of
records is a contact list, which contains the names, telephone numbers
and addresses of news reporters and editors. The contact list is
essential and necessary in order to conduct official business and is
duplicative of records maintained in SEC-56: Mailing, Contact and Other
Lists, 74 FR 36281 (July 22, 2009).
3. SEC-34: Administrative Proceedings Records Cards. The records in
SEC-34 are duplicative of and share the same purpose as the records in
SORN SEC-36: Administrative Proceeding Files, 79 FR 69894 (November 24,
2014).
4. SEC-53: Automated Emergency Notification System. The records in
SEC-53 are duplicative of the records in SORN SEC-51: Emergency
Contingency Plan System, 68 FR 23168 (April 30, 2003).
5. SEC-59: Office of Interpretation and Guidance Log; Office of
Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility
Log. The records related to broker-dealer finances were consolidated in
to the new SORN SEC-70. All remaining records in SEC-59 are duplicative
of and share the same purpose as the records in SORN SEC-56: Mailing,
Contact and Other Lists, 74 FR 36281 (July 22, 2009).
4. Obsolete Systems
The Privacy Act provides that an agency may only collect or
maintain in its records information about individuals that is relevant
and necessary to accomplish a purpose that is required by a statute or
executive order. If a system of records is comprised of records that no
longer meet this standard, the Privacy Act may require agencies to stop
maintaining the system and expunge the records in accordance with the
requirements in the SORN and the applicable record retention or
disposition schedule approved by the National Archives and Records
Administration. System managers have deemed the following systems
obsolete and have declared that the records are no longer relevant to
accomplish an agency mission/purpose. Accordingly, the following SORNs
were identified for rescindment:
1. SEC-22: Executive/Congressional Personnel Referrals
2. SEC-26: Confidential Treatment Request Imaging System
3. SEC-35: Securities Violations Records and Bulletin
4. SEC-44: Ridesharing System
5. SEC-47: Disgorgement and Penalties Tracking System
SYSTEM NAME AND NUMBER
1. SEC-01 Registration Statements Filed Pursuant to Provisions of
the Securities Act of 1933, Securities Exchange Act of 1934, Public
Utility Holding Company Act of 1935, and Investment Company Act of
1940.
2. SEC-02 Applications for Registration or Exemption under the
Investment Company Act of 1940.
3. SEC-03 Notification of Exemption from Registration under the
Securities Act of 1933.
4. SEC-04 Beneficial Ownership, Acquisition, Tender Offer, and
Solicitation Records Filed under the Securities Exchange Act of 1934.
5. SEC-05 Ownership Reports and Insider Trading Transaction Records
Filed under the Securities Exchange Act of 1934, Public Utility Holding
Company Act of 1935, and Investment Company Act of 1940.
6. SEC-06 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.
7. SEC-07 Proposed Sale of Securities Records Filed under the
Securities Act of 1933.
8. SEC-08 Proxy Soliciting Material Filed under the Securities
Exchange Act of 1934, Public Utility Holding Company Act of 1935, and
Investment Company Act of 1940.
9. SEC-09 Correspondence Files Pertaining to Registered Broker-
Dealers.
10. SEC-10 Correspondence Files Pertaining to Registered Investment
Advisers.
11. SEC-11 Correspondence Files Pertaining to Registered Investment
Companies.
12. SEC-12, Hearings, Proceedings and Studies.
13. SEC-13, No-action and Interpretative Letters.
14. SEC-18 Applications for Relief From Disqualification Filed
Under the Securities Act of 1933 and the Commission's Rules of
Practice.
15. SEC-20 Division of Corporation Finance Index for Filings on
Schedule 13D and Filings under Regulations A and B.
16. SEC-21, Division of Investment Management Correspondence and
Memoranda Files.
17. SEC-22, Executive/Congressional Personnel Referrals.
18. SEC-23: Staff Time and Activity Tracking System (STATS).
19. SEC-25, Office of Public Affairs, Policy Evaluation and
Research Records.
20. SEC-26, Confidential Treatment Request Imaging System.
21. SEC-27, Name-Relationship Search Index (NRSI).
22. SEC-30 Office of General Counsel Work Files.
23. SEC-32 Rule 102(e) of the Commission's Rules of Practice--
Appearance and Practice Before the Commission.
24. SEC-34, Administrative Proceedings Records Cards.
25. SEC-35, Securities Violations Records and Bulletin.
26. SEC-37: Automated Personnel Management Information System.
27. SEC-40: Office of Personnel Training Files.
28. SEC-44, Ridesharing System.
29. SEC-47, Disgorgement and Penalties Tracking System.
30. SEC-49 Broker-Dealer Records.
31. SEC-50 Investment Adviser Records.
32. SEC-53, Automated Emergency Notification System.
33. SEC-59, Office of Interpretation and Guidance Log; Office of
Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility
Log.
HISTORY:
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Federal Register No. and
System No. publication date
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SEC-01................................ 40 FR 39253 (August 27, 1975).
SEC-02................................ 40 FR 39253 (August 27, 1975);
64 FR 69051 (December 9, 1999);
and 66 FR 7820 (January 25,
2001).
SEC-03................................ 40 FR 39253 (August 27, 1975)
and 46 FR 44328 (September 3,
1981).
SEC-04................................ 40 FR 39253 (August 27, 1975).
SEC-05................................ 40 FR 39253 (August 27, 1975).
SEC-06................................ 40 FR 39253 (August 27, 1975)
and 59 FR 27626 (May 27, 1994).
SEC-07................................ 40 FR 39253 (August 27, 1975)
and 59 FR 27626 (May 27, 1994).
SEC-08................................ 40 FR 39253 (August 27, 1975)
and 59 FR 27626 (May 27, 1994).
SEC-09................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 11,
1997).
[[Page 6908]]
SEC-10................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 11,
1997).
SEC-11................................ 40 FR 39253 (August 27, 1975)
and 62 FR 47884 (September 11,
1997).
SEC-12................................ 40 FR 39258 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 14,
1997).
SEC-13................................ 40 FR 39258 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 14,
1997).
SEC-18................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 11,
1997).
SEC-20................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 11,
1997).
SEC-21................................ 40 FR 39253 (August 27, 1975);
77 FR 65913 (October 31, 2012);
and 78 FR 41962 (July 12,
2013).
SEC-22................................ 40 FR 39253 (August 27, 1975);
41 FR 5321 (February 5, 1976);
56 FR 24103 (May 27, 1994); and
62 FR 47884 (September 14,
1997).
SEC-23................................ 44 FR 7002 (February 5, 1979);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 14,
1997).
SEC-25................................ 41 FR 5318 (February 5, 1976);
42 FR 36333 (July 14, 1977); 46
FR 22091 (April 15, 1981); 49
FR 28498 (July 12, 1984); 59 FR
27626 (May 27, 1994) and 62 FR
47884 (September 11, 1997).
SEC-26................................ 62 FR 47889 (September 11,
1997).
SEC-27................................ 40 FR 39253 (August 27, 1975);
41 FR 5321 (February 5, 1976);
49 FR 28498 (July 12, 1984); 56
FR 24103 (May 27, 1994); and 62
FR 47884 (September 14, 1997).
SEC-30................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994); and
62 FR 47884 (September 11,
1997).
SEC-32................................ 40 FR 39253 (August 27, 1975)
and 62 FR 47884 (September 11,
1994).
SEC-34................................ 40 FR 39253 (August 27, 1975);
59 FR 27626 (May 27, 1994) and
62 FR 47884 (September 11,
1997).
SEC-35................................ 40 FR 39253 (August 27, 1975).
SEC-37................................ 43 FR 21769 (May 19, 1978); 46
FR 31128 (June 12, 1981); 56 FR
24103 (June 3, 1991); 57 FR
14594 (April 21, 1992); 59 FR
27626 (May 27, 1994) and 62 FR
47884 (September 14, 1997).
SEC-40................................ 40 FR 39253 (August 27, 1975);
41 FR 5321 (February 5, 1976);
42 FR 36333 (July 14, 1977); 56
FR 24103 (June 1, 1991); and 62
FR 479884 (September 11, 1997).
SEC-44................................ 63 FR 37423 (July 10, 1998).
SEC-47................................ 64 FR 19840 (April 22, 1999).
SEC-49................................ 64 FR 69051 (December 9, 1999).
SEC-50................................ 66 FR 7820 (January 25, 2001).
SEC-53................................ 71 FR 3907 (January 24, 2006).
SEC-59................................ 74 FR 36281 (July 22, 2009).
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By the Commission.
Dated: February 9, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-03101 Filed 2-14-18; 8:45 am]
BILLING CODE 8011-01-P
