Privacy Act: [CFTC-9]...

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   Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity 
   Pool Operators, Leverage Transaction Merchants, and Associated 
   Persons.
     System location: 
       National Futures Association (NFA), 200 West Madison Street, 
   Suite 1400, Chicago, Illinois 60606-3447.
     Categories of individuals covered by the system: 
       Persons who have applied for registration as floor brokers, floor 
   traders or as associated persons, and principals (as defined in 17 
   CFR 3.1) of futures commission merchants, introducing brokers, 
   commodity trading advisors, commodity pool operators, and leverage 
   transaction merchants.
     Categories of records in the system: 
       Information pertaining to the registration and fitness of the 
   above-described individuals to engage in business subject to the 
   Commission's jurisdiction. The system includes applications for 
   registration forms, schedules, and supplements; fingerprint cards; 
   correspondence relating to registration; and reports and memoranda 
   reflecting information developed from various sources.
       Computerized systems, consisting primarily of information taken 
   from the registration forms, are maintained by NFA. Computer records 
   include the name, date and place of birth, social security number 
   (optional), exchange membership (floor brokers and floor traders 
   only), firm affiliation, and the residence or business address, or 
   both, of each associated person, floor broker, floor trader and 
   principal. Computer records also include information relating to 
   name, trade name, principal office address, records address, names of 
   principals and branch managers of futures commission merchants, 
   introducing brokers, commodity pool operators, commodity trading 
   advisors, and leverage transaction merchants.
       Directories, when produced, list the name, business address, and 
   exchange membership affiliation of all registered floor brokers and 
   the name and firm affiliation of all associated persons and 
   principals. These directories, as well as registration forms and 
   biographical supplements, except for any confidential information on 
   supplementary attachments to the forms, are publicly available to any 
   person for disclosure, inspection and copying.
     Authority for maintenance of the system: 
       Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19 
   of the Commodity Exchange Act as amended, 7 U.S.C. 6f(1), 6k(4), 
   6k(5), 6n(1), 12a(1), 12a(5), 12a(10), and 23 (1988), as amended by 
   the Futures Trading Practices Act of 1992, Pub L. 102-546, 106 Stat. 
   3590.
     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 contained in this system of records may be disclosed by 
   the Commission as follows:
       1. Information contained in this system of records may be 
   disclosed to any person with whom an applicant or registrant is or 
   plans to be associated as an associated person or affiliated as a 
   principal.
       2. Information contained in this system of records may be 
   disclosed to any registered futures commission merchant with whom an 
   applicant or registered introducing broker has entered or plans to 
   enter into a guarantee agreement in accordance with Commission 
   regulation 1.10 (17 CFR 1.10).
       NFA may disclose information contained in those portions of this 
   system of records maintained by NFA, but any such disclosure must be 
   made in accordance with Commission-approved NFA rules and under 
   circumstances authorized by the Commission as consistent with the 
   Commission's regulations and routine uses. No specific consent is 
   required by an applicant or registered introducing broker to 
   disclosure of information to the futures commission merchant with 
   whom it has or plans to enter a guarantee agreement.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records in file folders, computer memory, computer 
   printouts, indexed cards, and microfiche.
     Retrievability: 
       By the name of the individual or firm, or by assigned 
   identification number. Where applicable, the NFA's computer cross-
   indexes the individual's primary registration file to the name of the 
   futures commission merchant, introducing broker, commodity trading 
   advisor, commodity pool operator or leverage transaction merchant 
   with whom the individual is associated or affiliated.
     Safeguards: 
       General office security measures including secured rooms or 
   premises and, in appropriate cases, lockable file cabinets, with 
   access limited to those whose official duties require access.
     Retention and disposal: 
       Hard copies of applications, biographical supplements, other 
   forms, related documents and correspondence are maintained on the 
   NFA's premises, 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 copies of records are then stored at an 
   appropriate site for an additional eight years before being 
   destroyed. Records are to be stored either on NFA's premises or in 
   appropriate fireproof off-site facilities.
       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 and are updated periodically as long as the individual is 
   pending for registration, registered in any capacity or affiliated 
   with any registrant as a principal. MRRS records on persons who may 
   apply may be maintained indefinitely.
     System manager(s) and address: 
       Assistant Director for Registration, Division of Trading and 
   Markets, Commodity Futures Trading Commission, 1155 21st Street, NW, 
   Washington, DC 20581, and Vice President for Registration, National 
   Futures Association, 200 West Madison Street, Suite 1400, Chicago, 
   Illinois 60606-3447.
     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 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. 
   Individuals may also request registration information by telephone 
   from the NFA information center at 1-800-676-3570 or from the 
   Disciplinary Information Access Line at 1-800-676-4632. NFA will 
   query the MRRS system about 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. The computer records are prepared from the 
   forms, supplements, attachments and related documents submitted to 
   the NFA and from information developed during the fitness inquiry.

   #..CFTC-21

       Deleted--Incorporated into CFTC-20.

   #..CFTC-22

       Deleted--Incorporated into CFTC-20.

   #..CFTC-23

       Deleted--Incorporated into CFTC-20.

   #..CFTC-24

       Deleted--Incorporated into CFTC-20.

   #..CFTC-25

       Deleted.

   #..CFTC-26

       Deleted--Incorporated into CFTC-14.

   #..CFTC-27

       Deleted.

   #..CFTC-28

   #....System name: 

       SRO Disciplinary Action File.
     System location: 
       Records in this system are maintained at the Commission's 
   principal and regional offices. See ``The Location of Systems of 
   Records.''
     Categories of individuals covered by the system: 
       Persons who have been suspended, expelled, disciplined, or denied 
   access to or by a self-regulatory organization (SRO).
     Categories of records in the system: 
       Letters of notification of disciplinary or other adverse action 
   taken by an exchange that include the name of the person against whom 
   such action was taken, the action taken and the reasons therefore.
     Authority for maintenance of the system: 
       Section 8c(1)(B) of the Commodity Exchange Act, 7 U.S.C. 
   12c(1)(B).
     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: 
       Loose-leaf binders, computer memory, and computer printouts.
     Retrievability: 
       By chronological order according to the self-regulatory 
   organization that took the disciplinary or other adverse action that 
   is the subject of the notice and by the name of the individual.
     Safeguards: 
       General office security measures.
     Retention and disposal: 
       Retained indefinitely.
     System manager(s) and address: 
       Assistant Director, Contract Markets Section, Commodity Futures 
   Trading Commission, 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: 
       Self-regulatory organizations notifying the Commission of 
   disciplinary or other adverse actions taken.

   #..CFTC-29

   #....System name: 

       Reparation Complaints.
     System location: 
       This system is located in the Office of Proceedings, 1155 21st 
   Street, NW, Washington, DC 20581.
     Categories of individuals covered by the system: 
       Individuals filing customer reparation complaints, as well as the 
   firms and individuals named in the complaints.
     Categories of records in the system: 
       Reparation complaints, answers, supporting documentation and 
   correspondence filed with the Office of Proceedings. If the complaint 
   is forwarded for decision by an administrative law judge or 
   proceedings officer, records become part of CFTC-3, Docket Files.
     Authority for maintenance of the system: 
       Section 14 of the Commodity Exchange Act, 7 U.S.C. 18.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       These records are used in the conduct of the Commission's 
   reparation program. 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, computer memory, computer 
   printouts.
     Retrievability: 
       By docket number and cross-indexed by the name of the complainant 
   and respondent.
     Safeguards: 
       General office security including secured rooms and, in 
   appropriate cases, lockable file cabinets, with access limited to 
   those whose official duties require access.
     Retention and disposal: 
       The records are maintained for 10 years after the case is closed, 
   except that complaints, decisions, and Commission opinions and 
   orders, are retained indefinitely.
     System manager(s) and address: 
       Office of Proceedings, Complaints Section, 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: 
       Persons or firms filing reparation complaints or answers.

   #..CFTC-30

   #....System name: 

       Open Commission Meetings--CFTC.
     System location: 
       This system is located in the Office of the Secretariat, 
   Commodity Futures Trading Commission, 1155 21st Street, NW, 
   Washington, DC 20581.
     Categories of individuals covered by the system: 
       Persons who are the subject of discussion at a Commission meeting 
   open for public observation.
     Categories of records in the system: 
       Information pertaining to the individuals who are the subject of 
   discussion at an open Commission meeting.
     Authority for maintenance of the system: 
       Government in the Sunshine Acts, 5 U.S.C. 552b(f) and Commission 
   regulations at 17 CFR 147.7.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The information in these files is 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 or microfiche; audio cassette 
   tapes.
     Retrievability: 
       The indices to the recordings, transcripts, and minutes of all 
   Commission meetings are organized by year in chronological order. 
   Each yearly index is further indexed in alphabetical order according 
   to subject matter, including the names of individuals, firms, 
   exchanges or other topics that are discussed at the meetings.
     Safeguards: 
       General office security measures, with access limited to persons 
   whose official duties require access.
     Retention and disposal: 
       Maintained on the premises for at least the statutory period 
   required by the Sunshine Act and Commission regulations (i.e., at 
   least two years after each meeting or at least one year after the 
   conclusion of any agency proceeding with respect to which the meeting 
   or portion of the meeting was held, whichever is later); then retired 

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