Sec Sorn 50

#..SEC-50
System name:
Investment Adviser Records.
System location:
Records filed before January 1, 2001 and paper records filed after
January 1, 2001: SEC, 450 Fifth Street, NW, Washington, DC 20549; and
Form ADV applications for registration, Form ADV Amendments, and Form
ADV-W withdrawal notices filed electronically on IARD after January 1,
2001: NASDR, 9509 Key West Avenue, Rockville, MD 20850.
Categories of individuals covered by the system:
Registrants and officers, directors, principal shareholders, or
other individuals related to them.
Categories of records in the system:
Name, address, telephone number, 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. 80b-3 and 80b-6a.
Purpose(s):
To help the SEC staff process applications for registration or
exemption and related forms under the Investment Advisers 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 or commodities 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 securities laws or rules; and
(6) Any contractor that performs, on the SEC's behalf, services
requiring the use of these records.

Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records filed before January 1, 2001 and paper records filed
after January 1, 2001 in the SEC's custody are maintained on paper,
microfilm, or magnetic tape and in a computer system. Form ADV
applications for registration, Form ADV amendments and Form ADV-W
notices of withdrawal filed electronically on the IARD after January 1,
2001 in the NASDR's custody are maintained in electronic format (IARD).
Retrievability:
These records are retrievable by the name of, or a file number
assigned to, the registrant. Individual name access to these records
is available through the SEC's Name-Relationship Search Index.
Safeguards:
Non-computer records in the SEC's custody are maintained in a
central records facility that only authorized individuals may access.
The facility is locked, with security cameras and a 24-hour security
guard. Computer records, which are subject to data integrity
controls, require passcodes for database access.
Retention and disposal:
The records in the SEC's custody are transferred to the Federal
Records Center periodically for storage. They are controlled by file
number and retained under 17 CFR 200.80f.
System manager(s) and address:
Records filed before January 1, 2001 and paper records filed
after January 1, 2001--Records Officer, SEC Operations Center, 6432
General Green Way, Alexandria, VA 22312-2413.
Form ADV applications for registration, Form ADV amendments and
Form ADV-W notices of withdrawal filed electronically on IARD after
January 1, 2001--NASDR, 9509 Key West Avenue, Rockville, MD 20850.
Notification procedure:
Requests to determine whether this system of records contains a
record pertaining to the requesting individual should be sent to the
Privacy Act Officer, SEC Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
Record access procedures:
Persons wishing to access or contest these records should contact
the Privacy Act Officer, SEC Operations Center, 6432 General Green
Way, Alexandria, VA 22312-2413.
Contesting record procedures:
See Records Access Procedures, above.
Record source categories:
Registrations and related forms filed with the SEC under the
Investment Advisers Act of 1940.

Exemptions claimed for the system:
None.