System of Records Notices (SORN)

#..SEC-5
System name:
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--SEC.
System location:
Securities and Exchange Commission, Washington, DC 20549.
Categories of individuals covered by the system:
Records contain information on individuals who are required by statute
or rule to file reports concerning their beneficial ownership of
certain securities and changes in that ownership.
Categories of records in the system:
The records contain the initial information and changes regarding
beneficial ownership of the securities of certain issuers. Such
information includes the name of the reporting person, the insider
control number assigned to him, the relationship of the reporting
person to the issuer of the security, the social security number of the
reporting person, the nature of the ownership, and financial
transaction data with regard to the securities holdings of the
reporting person.
Authority for maintenance of the system:
Title 15, United States Code, sections 78p, 79q, 80a-9, 80a-10, 80a-16,
80a-17, and 80a-30.
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 for the following:
1. To prepare for publication on a monthly basis the Commission's
``Official Summary'' of security transactions of insiders which is
made available for purchase by the public.
2. To prepare special reports which identify short-swing trading,
late reporting, and ownership histories.
3. To respond to requests by members of Congress and the public for
information concerning insider trading with respect to particular
issuers.
4. By SEC personnel for use in processing filings and other documents
filed with the Commission.
5. By SEC personnel for purposes of investigating possible violations
of the Federal securities laws.
6. 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.
7. 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.
8. A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local governmental 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.
9. 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.
10. 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.
11. 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.
12. In connection with investigations or disciplinary proceedings by a
State securities regulatory authority or by a securities selfregulatory 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 and on magnetic tape and
cards.
Retrievability:
Records are accessed by name and/or file number assigned to registrant.
Individual name access may be gained in computer listing, through the
Commission's Name-Relationship Index system.
Safeguards:
Records contain public information and are made available to the public
through the Official Summary, which is published monthly. Access to the
underlying records is limited to authorized personnel. The records are
kept in an office that is locked at night and in a building having a
24-hour security guard.
Retention and disposal:
These records are controlled by file number and maintained in-house at
the Commission's central record office for three years, then
transferred to the Federal Records Center for storage. They are
destroyed in accordance with the Commission's formal Records Control
Schedule outlined at 17 CFR 200.80f.
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 223122413.
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 223122413.
Contesting record procedures:
See record access procedures above.
Record source categories:
Information for these records is extracted pursuant to the applicable
sections of the various securities acts and regulations adopted
pursuant thereto.