Securities and Exchange Commission May 24, 2011 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meeting
Document Number: 2011-12878
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Sunshine Act Meeting
Document Number: 2011-12862
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Privacy Act of 1974: Systems of Records
Document Number: 2011-12699
Type: Notice
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
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'') proposes to establish three new systems of records and revise two existing systems of records. The three new systems of records are ``Tips, Complaints, and Referrals (TCR) Records (SEC-63)'', ``SEC Security in the Workplace Incident Records (SEC- 64)'', and ``Investor Response Information System (IRIS) (SEC-65).'' In a companion release published elsewhere in this issue of the Federal Register the Commission is issuing a Proposed Rule concurrent with this notice. Additionally, two existing systems of records are being revised: ``Personnel Management Code of Conduct and Employee Performance Files (SEC-38)'', last published in the Federal Register Volume 62, Number 176 on Thursday, September 11, 1997; and ``Enforcement Files (SEC-42)'', last published in the Federal Register Volume 67, Number 142 on Wednesday, July 24, 2002.
Privacy Act of 1974: Implementation and Amendment of Exemptions
Document Number: 2011-12694
Type: Proposed Rule
Date: 2011-05-24
Agency: Securities and Exchange Commission, Agencies and Commissions
Pursuant to the Privacy Act of 1974, as amended, the Securities and Exchange Commission (``Commission'' or ``SEC'') proposes to exempt portions of three new systems of records from provisions of the Privacy Act to the extent that the records contain investigatory materials compiled for law enforcement purposes. Additionally, the Commission proposes to make technical amendments to its Privacy Act regulation exempting specific systems of records from certain provisions of the Privacy Act. In a companion release published elsewhere in this issue, the Commission is giving concurrent notice of three new systems of records pursuant to the Privacy Act of 1974.