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<DOC> [2001 Privacy Act] [From the U.S. Government Printing Office via GPO Access] #.SECURITIES AND EXCHANGE COMMISSION Table of Contents: System Notices Names and Numbers (1) 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) Applications for Registration or /Exemption under the Investment Company Act of 1940. (3) Notification of Exemption from Registration under the Securities Act of 1933. (4) Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934. (5) 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) 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) Proposed Sale of Securities Records Filed under the Securities Act of 1933. (8) 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) Correspondence Files Pertaining to Registered Broker-Dealers. (10) Correspondence Files Pertaining to Registered Investment Advisers. (11) Correspondence Files Pertaining to Registered Investment Companies. (12) Hearings, Proceedings and Studies. (13) No-action and Interpretative Letters. (14) Administrative Audit System. (15) Pay and Leave System. (16) Administrative Law Judge Assignments and Dispositions of Administrative Proceedings. (17) Minutes Regarding Action Taken by the Commission. (18) Applications for Relief From Disqualification Filed Under the Securities Act of 1933 and the Commission's Rules of Practice. (19) Division of Corporation Finance and Support Office Working Files. (20) Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B. (21) Division of Investment Management Correspondence and Memoranda Files. (22) Executive/Congressional Personnel Referrals. (23) Staff Time and Activity Tracking System (STATS). (24) Freedom of Information Act Requests. (25) Office of Public Affairs, Policy Evaluation and Research Records. (26) [Reserved] (27) Name-Relationship Search System (NRS). (28) Office of the Chief Accountant Working Files. (29) Agency Correspondence Tracking System (ACTS). (30) Office of General Counsel Work Files. (31) Office of General Counsel (Adjudication) Working Files. (32) Rule 102(e) of the Commission's Rules of Practice-- Appearance and Practice Before the Commission. (33) Administrative and Litigation Release System. (34) Administrative Proceedings Records Cards. (35) Securities Violations Records and Bulletin. (36) Administrative Proceeding Files. (37) Automated Personnel Management Information System. (38) Personnel Management Code of Conduct and Employee Performance Files. (39) Personnel Management Employment and Staffing Files. (40) Office of Personnel Training Files. (41) Child Care Subsidy Program. (42) Enforcement Files. (43) Office of Inspector General Investigative Files. (44) Ridesharing System. (45) Public Transportation Subsidy Program. (46) Identification Cards, Press Passes, and Proximity Access Control Cards. (47) Disgorgement and Penalties Tracking System. (48) Fitness Center Membership, Payment, and Fitness Records. (49) Broker-Dealer Records. (50) Investment Adviser Records. #..SEC--1 #....System name: 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--SEC System location: Securities and Exchange Commission, Washington, DC 20549. Duplicate copies may be maintained in SEC Regional and District Offices. Categories of individuals covered by the system: Records include information on officers, directors, principal shareholders, and certain other persons having a relationship with or a transaction with a registrant. Categories of records in the system: The records describe the individual's relationship to a registrant and other relevant material business information about the individual. Authority for maintenance of the system: Title 15, United States Code, sections 79e, 77f, 77g, 77h and 77j; 781, 78m, 78n, 78o(d), and 78p; and 80a-8. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: These records and the information contained in these records may be used as follows: 1. By SEC staff in the processing of registration statements and periodic reports filed with the Commission under provisions of the Federal securities laws; may also be used to respond to inquiries from Members of Congress and the public concerning registrants and in preparing no-action letters. 2. By SEC personnel for purposes of investigating possible violations of the Federal securities laws. 3. Where there is an indication of a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, State, local, foreign or a securities self-regulatory organization charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. 4. When considered appropriate, records in this system may be referred to a bar association or similar Federal, State, or local licensing authority for possible disciplinary action. 5. A record from this system of records may be disclosed as a ``routine use'' to a Federal, State or local government authority maintaining civil, criminal or other relevant enforcement information or other pertinent information, such as current licenses, if necessary to obtain information relevant to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit. 6. A record from this system of records may be disclosed to a Federal, State or local governmental authority in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter. 7. As a data source for management information for production of summary descriptive statistics and analytical studies in support of the function for which the records are collected and maintained or for related personnel management functions or manpower studies; may also be utilized to respond to general requests for statistical information (without personal identification of individuals) under the Freedom of Information Act or to locate specific individuals for personnel research or other personnel management functions. 8. In any proceeding where the Federal securities laws are in issue or in which the Commission or past or present members of its staff is a party or otherwise involved in an official capacity. 9. In connection with investigations or disciplinary proceedings by a State securities regulatory authority or by a securities self- regulatory organization involving one or more of its members. In connection with their regulatory and enforcement responsibilities mandated by the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), or state or foreign laws regulating securities or other related matters, records in this system of records may be disclosed to national securities exchanges and national securities associations that are registered with the Commission, the Municipal Securities Rulemaking Board, the Securities Investor Protection Corporation, the federal banking authorities, including but not limited to, the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, and the Federal Deposit Insurance Corporation, state securities regulatory or law enforcement agencies or organizations, or regulatory or law enforcement agencies of a foreign government. Records in this system may be disclosed as a routine use to any trustee, receiver, master, special counsel, or other individual or entity that is appointed by a court of competent jurisdiction, or as a result of an agreement between the parties in connection with litigation or administrative proceedings involving allegations of violations of the Federal securities laws (as defined in section 21(g) of the Securities Exchange Act, 15 U.S.C. 78u(g) or the Commission's rules of practice, 17 CFR 202.1 et seq. or otherwise, where such trustee, receiver, master, special counsel or other individual or entity is specifically designated to perform particular functions with respect to, or as a result of, the pending action or proceeding or in connection with the administration and enforcement by the Commission of the Federal securities laws or the Commission's rules of practice. Records in this system may, in the discretion of the Commission's staff, be disclosed to any person during the course of any inquiry or investigation conducted by the Commission staff, or in connection with civil litigation, if the staff has reason to believe that the person to whom the record is disclosed may have further information about the matters related therein, and those matters appeared to be relevant at the time to the subject matter of the inquiry. A record or information in this system may be disclosed to any person with whom the Commission contracts to reproduce, by typing, photocopy or other means, any record within this system for use by the Commission and its staff in connection with their official duties or to any person who is utilized by the Commission to perform clerical or stenographic functions relating to the official business of the Commission. Records or information in records contained in this system may be disclosed to members of advisory committees that are created by the Commission or by the Congress to render advice and recommendations to the Commission or to the Congress, to be used solely in connection with their official, designated functions. Records or information in the records in this system may be disclosed as a routine use to any person who is or has agreed to be subject to the Commission's rules of conduct, 17 CFR 202.785-1 et seq., and who assists in the investigation by the Commission of possible violations of Federal securities laws (as defined in section 21(g) of the Securities Exchange Act of 1934, 15 U.S.C. 78u(g)), in the preparation or conduct of enforcement actions brought by the Commission for such violations, or otherwise in connection with the Commission's enforcement or regulatory functions under the Federal securities laws. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Records are maintained in hard copy form or microform. Retrievability: Records are accessed by name and/or file number assigned to registration statement. Individual name access is available through the Commission's Name-Relationship Index system. Safeguards: Records contain public information and are available through Public Reference Section. Records are maintained in central records office, which is locked at night. Building where records are maintained has a 24-hour security guard. Retention and disposal: These records are transferred to the Federal Records Center periodically for storage. They are controlled by file number and disposed of in accordance with the Commission's formal Records Control Schedule outlined at 17 CFR 200.80f. Certain files that have been categorized as permanent are retired to the National Archives and Records Administration, after the designated storage period at the Federal Records Center. System manager(s) and address: Records Officer, Office of Filings and Information Services, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop A-1, Alexandria, VA 22312-2413. Notification procedure: All requests to determine whether this system of records contains a record pertaining to the requesting individual may be directed to the Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413. 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 Privacy Act Officer, Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail Stop O-5, Alexandria, VA 22312-2413. Contesting record procedures: See Record access procedures above. Record source categories: Information is obtained from registration statements that are filed with the Commission under the Securities Act of 1933, Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940. #..SEC-2 #....System name: Applications for Registration or Exemption under the Investment Company Act of 1940. System location: SEC, 450 Fifth Street, NW, Washington, DC 20549. Categories of individuals covered by the system: Officers, directors, and other individuals related to investment companies. Categories of records in the system: Name, date of birth, address, telephone numbers, social security number, education, past and present employment, disciplinary history, business relationships, and similar information. Authority for maintenance of the system: 15 U.S.C. 77f, 77g, 77h, 77j, 80a-6, and 80a-8. Purpose(s): To help the SEC staff process applications for registration or exemption, registration statements, and related forms under the Investment Company Act of 1940 and implement the Federal securities laws and rules. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: In addition to the conditions of disclosure under 5 U.S.C. 552a(b), the SEC staff may provide these records to: (1) Any member of the general public upon request; (2) Any Federal, state, local, or foreign government authority or securities self-regulatory organization that is investigating a violation or potential violation of a statute, rule, regulation, or order; (3) Any Federal, state, local, or foreign bar association or similar licensing authority responsible for possible disciplinary action; (4) Any Federal, state, or local government or governmental authority that is deciding to hire or retain an individual, sign a contract, or issue a license, grant, or benefit; (5) Any individual or entity appointed by a court of competent jurisdiction or agreed upon by the parties to a pending court action or administrative proceeding alleging a violation of the Federal
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