Privacy Act: [CFTC-9]...

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   information concerning deliveries and exchanges of futures for 
   physicals by persons with reportable positions. These reports are 
   filed, mostly in machine readable form, in the CFTC office in the 
   city where the contract market involved is located. If there is no 
   CFTC office in that city, they are filed in the office where the CFTC 
   instructs that they be filed.
       3. Computer records prepared from information on the forms 
   described in items (1) and (2) above. The computer system is located 
   in Chicago. Printouts may be located in some or all of the 
   Commission's offices.
       4. Correspondence and memoranda of telephone conversations 
   between the Commission and the individual or between the Commission 
   and other agencies dealing with matters of official business 
   concerning the individual.
       5. Other miscellaneous information, including intra-agency 
   correspondence and memoranda concerning the individual and documents 
   relating to official actions taken by the Commission against the 
   individual.
       6. Reports from contract markets concerning futures and options:
       a. Positions and Transactions of Clearing Member Firms. 
   Information is provided in machine readable form and contains the 
   data prescribed in part 16 of the Commission's regulations. The 
   information includes an identification number for each clearing 
   member, open contracts at the firm for proprietary and customer 
   accounts and transactions such as trades, exchanges of futures for 
   cash, delivery notices issued and received, and transfers and option 
   exercises. The information is filed in the city where the exchange is 
   located or as instructed by the Commission. Data is transmitted to 
   the CFTC computer system and printouts are available at all CFTC 
   offices.
       b. Large Option Trader Data. Information is provided in machine 
   readable form and contains the data prescribed in Commission Rule 
   16.02. Shows customer account number and reportable option positions 
   as specified in Rule 16.02. Machine readable media is delivered to 
   the Commission office in which the contract market is located or as 
   instructed by the Commission. The data is transmitted to the CFTC 
   computer system and printouts of the data are available in each 
   Commission office.
     Authority for maintenance of the system: 
       Sections 4g, 4i, and 8 of the Commodity Exchange Act, 7 U.S.C. 
   6g, 6i, and 12.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       See ``General Statement of Routine Uses.'' In addition, 
   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.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:
     Storage: 
       Paper records in file folders, computer memory, and computer 
   printout.
     Retrievability: 
       Form 40, Form 102, correspondence and other miscellaneous 
   information are maintained directly under the name of the reporting 
   trader. The series 01, 03, and 04 forms are maintained by identifying 
   code number. However, information from these forms is included in the 
   computer and retrievable by individual name from the computer.
     Safeguards: 
       General office security measures, with recent trading reports 
   stored in lockable file cabinets. Access is limited to those whose 
   official duties require access.
     Retention and disposal: 
       CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are 
   retained on the premises until the account has been inactive for 5 
   years and are then destroyed. Form 01, 03, and 04 reports are 
   maintained for 6 months on the premises and then held at the Federal 
   Records Center for 5 years before being destroyed. The computer file 
   is maintained for 10 years for Form 01, 03, and 04 reports and large 
   trader options data reported by contract markets. Clearing member 
   positions and transactions are maintained for 2 years. Trader code 
   numbers and related information are maintained for 5 years after a 
   trader becomes nonreportable. Account numbers assigned by an FCM are 
   maintained on the system for 1 year after the account is no longer 
   reported.
     System manager(s) and address: 
       Chief, Surveillance Branch, in the region where the records are 
   located. 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. Include 
   code number assigned by the Commission for filing reports, the name 
   of the futures commission merchant through whom traded, and the time 
   period for which information is sought.
     Record source categories: 
       The individual on whom the record is maintained and futures 
   commission merchants through whom the individual trades. 
   Correspondence and memoranda prepared by the Commission or its staff. 
   Correspondence from firms, agencies, or individuals requested to 
   provide information on the individual.

   #..CFTC-16

   #....System name: 

       Case Files.
     System location: 
       This system is located in the Commission's principal and regional 
   offices. Pending litigation files may be located in other 
   participating offices. See ``The Location of Systems of Records.''
     Categories of individuals covered by the system: 
       Persons or firms against whom the Commission has taken 
   enforcement action based on violations of the Commodity Exchange Act 
   or the rules and regulations promulgated thereunder.
     Categories of records in the system: 
       Copies of various papers filed by or with the Commission or the 
   courts in connection with administrative proceedings or injunctive 
   actions brought by the Commission. It includes, as a minimum, a copy 
   of the complaint and the final decision and order, and may contain 
   other documents as well, including records described in CFTC-14, 
   Matter Files, as well as pleadings and litigation correspondence.
     Authority for maintenance of the system: 
       These files are necessary for the orderly and effective conduct 
   of litigation authorized under the Commodity Exchange Act and other 
   federal statutes. See, e.g., section 6c of the Commodity Exchange 
   Act, 7 U.S.C. 13a-1, authorizing injunctive actions, and various 
   provisions in that Act authorizing administrative actions.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses:  
       See ``General Statement of Routine Uses.'' The information in 
   these files is generally a matter of public record and may be 
   disclosed without restriction.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage:  
       Paper records in file folders or binders, disks, computer memory, 
   computer printouts. A summary index of material is also stored on the 
   computer.
     Retrievability: 
       By case title or in some instances by docket number.
     Safeguards: 
       General office security measures including secured premises with 
   access limited to those whose official duties require access.
     Retention and disposal:  
       After an action is complete, the complaint, final decision, and 
   order are kept indefinitely at the headquarters office. The remainder 
   of the litigation file is shipped to off-site storage 90 days after 
   the case is completed. Most case files are destroyed after 15 years; 
   unique precedent setting cases are destroyed after 20 years.
     System manager(s) and address: 
       Director, Division of Enforcement at the Commission's principal 
   office and Regional Counsel for the region where the records are 
   located. See ``The Location of Systems 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: 
       The parties, their attorneys, the Commission's Proceedings 
   Clerk's Office, the relevant court, and miscellaneous sources.

   #..CFTC-17

   #....System name: 

       Litigation Files-OGC.
     System location: 
       This system is located in the Office of the General Counsel at 
   1155 21st Street, NW, Washington, DC 20581.
     Categories of individuals covered by the system: 
       Parties involved in litigation with the Commission or litigation 
   in which the Commission has an interest including, but not limited 
   to:
       a. Administrative proceedings before the Commission;
       b. Injunctive actions brought by the Commission;
       c. Other federal court cases to which the Commission is a party;
       d. Litigation in which the Commission is participating as amicus 
   curiae; and
       e. Other cases involving issues of concern to the Commission, 
   including those brought by other law enforcement and regulatory 
   agencies and those brought by private parties.
     Categories of records in the system: 
       Papers, disks, computer memory or computer printouts comprising 
   or included in the record of the case, and briefs and correspondence 
   related to that action. May also include internal memoranda and other 
   documents pertaining to the matter being litigated.
     Authority for maintenance of the system: 
       The Commodity Exchange Act, 7 U.S.C. 1, et seq., entrusts the 
   Commission with broad regulatory responsibilities over commodity 
   futures transactions. In this connection, the Commission is 
   authorized to bring both administrative proceedings and injunctive 
   actions where there appear to have been violations of the Act. 
   Furthermore, to effectuate the purposes of the Act, it is necessary 
   that the Commission staff be familiar with developments in other 
   actions brought by others that have implications in the commodity law 
   areas.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses:  
       The information in these files is generally a matter of public 
   record and may be disclosed without restriction. 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, as well as disks, computer memory 
   and computer printouts.
     Retrievability:  
       Alphabetically by caption of the case.
     Safeguards: 
       General office security measures including secured rooms or 
   premises with access limited to those whose official duties require 
   access.
     Retention and disposal: 
       Maintained in the active files until the action is completed, 
   including final review at the appellate level. Thereafter, 
   transferred to the inactive case files, where a skeletal record of 
   pleadings, briefs, findings, and opinions and other particularly 
   relevant papers may be maintained. These records are maintained on 
   premises for five years, then transferred to the Federal Records 
   Center. A copy of some of the documents may be kept in precedent 
   files for use in later legal research or preparation of filings in 
   other matters.
     System manager(s) and address: 
       General Counsel, 1155 21st Street, NW, Washington, DC 20581.
     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: 
       The court or regulatory authority before whom the action is 
   pending, the attorneys for one of the named parties, and 
   miscellaneous sources.

   #..CFTC-18

   #....System name: 

       Logbook on Speculative Limit Violations.
     System location: 
       This system is located in the Commission's Chicago and New York 
   regional offices. See ``The Location of Systems of Records.''
     Categories of individuals covered by the system: 
       Individuals who have exceeded speculative limits in a particular 
   fiscal year.
     Categories of records in the system: 
       A listing, by year, of the violations of speculative limits 
   imposed by the Commission and the exchanges. It includes the trader's 
   assigned code number, the commodity involved, the name of the trader, 
   the type of violation, the date of the violation, the date the 
   violation ceased, and the action taken. Copies of warning letters and 
   replies pertaining to the violation listed are maintained with the 
   logbook.
     Authority for maintenance of the system: 
       Sections 4i and 8 of the Commodity Exchange Act, 7 U.S.C. 6i and 
   12.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       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 fiscal year, and within each year by the name of the violator.
     Safeguards: 
       General office security measures including secured rooms or 
   premises with access limited to those whose official duties require 
   access.
     Retention and disposal: 
       Maintained on the premises for 5 years, then held in Federal 
   Records Center for 15 years before being destroyed.
     System manager(s) and address: 
       Chief, Surveillance Branch, 233 South Wacker Drive, Suite 4600, 
   Chicago, Illinois 60606; Chief, Surveillance Branch, One World Trade 
   Center, Suite 4747, New York, New York 10048.
     Notification procedure: 
       Individuals seeking to determine whether this system of records 
   contains information about themselves or seeking access to records 
   about themselves contained 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: 
       Series 03 reports filed by traders. Correspondence prepared by 
   the Commission or by the individual or individual's representative.

   #..CFTC-19

       Deleted--Incorporated into CFTC-29.

   #..CFTC-20

   #....System name: 

       Registration of Floor Brokers, Floor Traders, Futures Commission 

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