Privacy Act: [CFTC-9]...

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   access limited to persons whose official duties require access. 
   Access to computer systems is password protected and limited to 
   authorized personnel only.
     Retention and disposal: 
       Hard copies of applications, biographical supplements, other 
   forms, related documents and correspondence are maintained, as 
   applicable, for two years after the individual's registration(s), or 
   that of the firm(s) with which the individual is associated as an 
   associated person or affiliated as a principal, becomes inactive. 
   Hard copy records are then stored at an appropriate site for an 
   additional eight years before being destroyed. CFTC-held records are 
   stored in the Federal Records Center, and NFA-held records are to be 
   stored either on NFA's premises or in appropriate fireproof off-site 
   facilities. Since 1991, NFA has scanned, indexed and stored hard copy 
   records on the computer via imaging software so the information may 
   be retrieved and printed. Like the hard copy records, these imaged 
   records are maintained by NFA for 10 years after the individual's 
   registration(s), or the registration of the firm(s) with which the 
   individual is affiliated as an associated person or principal becomes 
   inactive.
       NFA also maintains an index and summary of the hard copy records 
   of this system in a data base, the Membership, Registration, 
   Receivables System (MRRS). The MRRS records are maintained 
   permanently on CFTC's or NFA's premises, as applicable, and are 
   updated periodically as long as the individual's application is 
   pending for registration in any capacity or affiliated with any 
   registrant in any capacity. MRRS records on persons who may apply may 
   be maintained indefinitely; microfiche records, when produced, are 
   maintained permanently on the CFTC's or NFA's premises.
     System manager(s) and address: 
       Assistant Director for Registration, Division of Trading and 
   Markets, at the Commission's principal office, or a designee. For 
   records held by NFA, the systems manager is the Vice President for 
   Registration, National Futures Association, 200 West Madison Street, 
   Suite 1400, Chicago, Illinois 60606-3447, or a designee.
     Notification procedure: 
       Individuals seeking to determine whether this system of records 
   contains information about themselves, seeking access to records 
   about themselves in this system of records or contesting the content 
   of records about themselves should address written inquiry to the 
   FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures 
   Trading Commission, 1155 21st Street, NW, Washington, DC 20581. 
   Telephone (202) 418-5105. Individuals may also request registration 
   information by telephone directly from the NFA information center at 
   1-800-676-3570 or the NFA Disciplinary Information Access Line at 1-
   800-676-4632. NFA will query the computer database about the 
   individual's current registration status and registration history, 
   and provide instructions on how to make written requests for copies 
   of records.
     Record source categories: 
       The individual or firm on whom the record is maintained; the 
   individual's employer; federal, state and local regulatory and law 
   enforcement agencies; commodities and securities exchanges, National 
   Futures Association and National Association of Securities Dealers; 
   foreign futures and securities authorities and INTERPOL; and other 
   miscellaneous sources. Computer records are prepared from the forms, 
   supplements, attachments and related documents submitted to the 
   Commission or NFA and from information developed during the fitness 
   inquiry.

   #..CFTC-13

   #....System name: 

       Interpretation Files.
     System location: 
       Files are kept in the office responsible for preparing the 
   interpretation letter, including the Division of Trading and Markets, 
   the Office of the General Counsel, and the Division of Economic 
   Analysis. Copies of the interpretation letters without the supporting 
   documentation are also kept in the Secretariat and the Office of 
   Public Affairs. All offices are located at 1155 21st Street, NW, 
   Washington, DC 20581.
     Categories of individuals covered by the system: 
       Persons who have requested the Commission to provide them with 
   its interpretation of provisions of the Commodity Exchange Act or 
   various rules and regulations adopted by the Commission. The requests 
   may have been made directly by the individual, or through the 
   individual's attorney or other representative.
     Categories of records in the system: 
       Interpretation letters furnished, the request for an 
   interpretation, and any related internal memoranda and supporting 
   documents.
     Authority for maintenance of the system: 
       Section 2(a)(4) of the Commodity Exchange Act, 7 U.S.C. 4a(c), 44 
   U.S.C. 3101.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       a. Pursuant to the Commission's rules, 17 CFR 140.98, 
   interpretation letters and the related requests for interpretation 
   that discuss matters of general applicability are made public and 
   published by the Commission. Portions of such letters or information 
   will be deleted or omitted to the extent necessary to prevent a 
   clearly unwarranted invasion of personal privacy or to the extent 
   they otherwise contain material considered nonpublic under the 
   Freedom of Information Act and the Commission's rules implementing 
   that Act.
       b. Information in these files may be used as a reference in 
   responding to later inquiries from the same party or in following up 
   on earlier correspondence involving the same person.
       c. Also see ``General Statement of Routine Uses.''
     Policies and practices for storing, retrieving, accessing, 
   retaining and disposing of records in the system:  
     Storage: 
       Paper records in file folders.
     Retrievability: 
       By futures commission merchant, floor broker, commodity pool 
   operator, commodity trading advisor or associated person if the 
   request is made by them or on their behalf. If it is made on behalf 
   of another individual, it will be filed by the name of the 
   individual. If the identity of these persons is not known, the record 
   will be maintained in the name of the attorney or other 
   representative filing the request.
     Safeguards: 
       Access limited to the offices where the records are maintained.
     Retention and disposal: 
       Maintained permanently (on premises for 5 years then transferred 
   to the Federal Records Center). After 20 years, offered to the 
   National Archives and Records Service.
     System manager(s) and address: 
       Chief Counsel, Division of Trading and Markets; the General 
   Counsel; Director, Division of Economic Analysis; the Secretary to 
   the Commission; and the Director, Office of Public Affairs. All 
   system managers are located in the Commission's principal office. See 
   ``The Location of Systems of Records.''
     Notification procedure: 
       Individuals seeking to determine whether this system of records 
   contains information about themselves, or seeking access to records 
   about themselves in this system of records, or contesting the content 
   of records about themselves contained in this system of records 
   should address written inquiry to the FOI, Privacy and Sunshine Acts 
   Compliance Staff, Commodity Futures Trading Commission, 1155 21st 
   Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
     Record source categories: 
       Individuals, proprietorships, corporations, other business 
   organizations, or representatives seeking interpretation of the 
   provisions of the Commodity Exchange Act or Commission rules.

   #..CFTC-14

   #....System name: 

       Matter Files.
     System location: 
       This system is located in the Commission's principal and regional 
   offices. Pending investigation files may be located in the office 
   that is conducting the investigation. See ``The Location of Systems 
   of Records.''
     Categories of individuals covered by the system: 
       a. Individuals whom the staff has reason to believe have 
   violated, are violating, or are about to violate the Commodity 
   Exchange Act and the rules, regulations, and orders promulgated 
   thereunder, or the rules and regulations of any board of trade 
   designated as a contract market.
       b. Individuals whom the staff has reason to believe may have 
   information concerning violations of the Commodity Exchange Act and 
   the rules, regulations, and orders promulgated thereunder, or the 
   rules and regulations of any board of trade designated as a contract 
   market.
       c. Individuals involved in investigations authorized by the 
   Commission concerning the activities of members of the Commission or 
   its employees based upon formal complaint or otherwise.
       d. Individuals filing an application for registration as 
   associated person, floor trader or floor broker Form 8-R 
   (biographical information questionnaire) in connection with an 
   application for registration with the Commission.
       e. Individuals indicted or convicted for criminal violations of 
   the Act or other commodity related violations.
     Categories of records in the system: 
       Anything obtained during the course of an investigation including 
   data from Commission reporting forms, account statements and other 
   trading records, exchange records, bank records and credit 
   information, business records, reports of interviews, transcripts of 
   testimony, exhibits to transcripts, affidavits, statements by 
   witnesses, registration information, contracts and agreements. Also 
   contains internal memoranda, reports of investigation, orders of 
   investigation, subpoenas, warning letters, stipulations of 
   compliance, correspondence and other miscellaneous matters. The 
   nature of the personal information contained in these files varies 
   according to what is considered relevant by the attorney assigned 
   based on the circumstances of the particular case under 
   investigation, and may include personal background information about 
   the individual involved, his education and employment history, 
   information on prior violations, and a wide variety of financial 
   information, as well as a detailed examination of the individual's 
   activities during the period in question.
     Authority for maintenance of the system: 
       Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C. 
   3101.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       See ``General Statement of Routine Uses.'' Information concerning 
   traders and their activities may be disclosed and made public by the 
   Commission to the extent permitted by law when deemed appropriate to 
   further the practices and policies of the Commodity Exchange Act. 
   Information collected during the investigation may be included in a 
   public report issued by the Commission following an investigation, to 
   the extent that this is authorized under section 8 of the Commodity 
   Exchange Act, 7 U.S.C. 12.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders, disks, computer memory, computer 
   printouts. A summary index of material is also stored on the 
   computer.
     Retrievability: 
       By assigned matter title, person or firm.
     Safeguards: 
       In addition to normal office and building security, certain of 
   these records are maintained in locked file cabinets. All employees 
   are aware of the sensitive nature of the information gathered during 
   investigations.
     Retention and disposal: 
       In the principal office, opening and closing reports, complaints, 
   and significant orders are kept permanently. Once an investigation is 
   closed without institution of a case, the files, other than the 
   materials described above, are shipped to off-site storage within 
   ninety days of closing. Records of preliminary inquiries closed 
   without further action, are forwarded to off-site storage within a 
   year following closure. Records are maintained in off-site storage 
   for 5 years, then destroyed. In the regional offices, records are 
   maintained on the premises for 3 years after the matter is closed, 
   then sent to the Federal Records Center for 5 years before being 
   destroyed.
       If an investigatory matter is not closed, but becomes a 
   Commission injunctive or administrative action, the matter files 
   become part of the case files described in CFTC-16.
     System manager(s) and address: 
       Director, Division of Enforcement in the Commission's principal 
   office. Regional Counsel of the region where the investigation is 
   being conducted. See ``The Location of Systems of Records.''
     Notification procedure: 
       Individuals seeking to determine whether this system of records 
   contains information about themselves, or seeking access to records 
   about themselves in this system of records, or contesting the content 
   of records about themselves contained in this system of records 
   should address written inquiry to the FOI, Privacy and Sunshine Acts 
   Compliance Staff, Commodity Futures Trading Commission, 1155 21st 
   Street, NW, Washington, DC 20581. Telephone (202) 418-5105.
     Record source categories: 
       a. Reporting forms and other information filed with the 
   Commission; b. boards of trade; c. persons or firms covered by the 
   Commission's registration requirements; d. federal, state and local 
   regulatory and law enforcement agencies; e. banks, credit 
   organizations and other institutions; f. corporations; g. individuals 
   having knowledge of the facts; h. attorneys; i. publications; j. 
   courts; and k. miscellaneous sources.

   #..CFTC-15

   #....System name: 

       Large Trader Report Files.
     System location: 
       The copies of original reports and related correspondence are 
   located in the CFTC office where filed. See further description 
   below. Ancillary records and information (computer printout) may be 
   located in any CFTC office. See ``The Location of Systems of 
   Records.''
     Categories of individuals covered by the system: 
       Individuals holding reportable positions.
     Categories of records in the system: 
       1. Reports filed by the individual holding the reportable 
   position:
       a. Statements of Reporting Trader (CFTC Form 40) contains 
   information described in part 18 of the Commission's rules and 
   regulations, including the name, address, number, and principal 
   occupation of the reporting trader, financial interest in and control 
   of commodity futures accounts, and information about the trader's 
   business associations;
       b. Large trader reporting form (Series 03 Form). Contains 
   information described in part 18 of the Commission's rules and 
   regulations, including the trader's identifying number, previous open 
   contracts, trades and deliveries that day, open contracts at the end 
   of the day, and classification as to speculation or hedging 
   (available on a non-routine basis by special call);
       c. Large trader reporting form (Series 04 Form). Contains 
   information described in part 19 of the Commission's rules and 
   regulations, to be filed by merchants, processors and dealers in 
   commodities that have federally imposed speculative position limits. 
   Includes trader's identifying number, stocks owned, fixed price sale 
   and purchase commitments. These reports are filed in the CFTC office 
   in the city where the reporting trader is located. If there is no 
   CFTC office in that city, the reports are filed according to specific 
   instructions of the CFTC.
       2. Reports to be filed by futures commission merchants, members 
   of contract markets, foreign brokers and for large option traders by 
   contract markets.
       a. Identification of ``Special Accounts'' (CFTC Form 102). 
   Contains material described in part 17 of the Commission's rules and 
   regulations. Includes the name, address, and occupation of a customer 
   whose accounts have reached the reporting level. Also includes the 
   account number that the futures commission merchant uses to identify 
   this customer on the firm's 01 report (see next paragraph), and 
   whether the customer has control of or financial interest in accounts 
   of other traders.
       b. Large trader reporting form (Series 01 Form). Contains 
   material described in part 17 of the Commission's rules and 
   regulations, for each ``special account.'' Shows customer account 
   number, reportable position held in each commodity future and 

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