Privacy Act: [SEC-2]...

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[2001 Privacy Act]
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   #.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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