System of Records Notices (SORN)

#..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 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 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 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 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.