Sec Sorn

#..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
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:
These records are maintained on paper, microfilm, or magnetic tape and
in a computer system.
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 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:
These records 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 Officer, SEC, Operations Center, 6432 General Green Way,
Alexandria, VA 22312-2413.
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.
Records 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:
Applications for registration or exemption and related forms
filed with the SEC under the Investment Company Act of 1940.
Exemptions claimed for the system:
None.