7.16.2009 The SEC is requesting comments on the following five new Privacy Act systems of record:
- “Information Pertaining or Relevant to SEC Registrants and Their Activities (SEC-55),” which contains records on individuals associated with entities or persons that are registered with the SEC;
- “Mailing, Contact and Other Lists (SEC-56),” which contains records related to individuals and employees who submit requests for information, subscriptions, inquiries, guidance, informal advice and other assistance to the SEC;
- “International Program Oversight Database (SEC-57),” which contains information related to an SEC investigation, international institute training, foreign regulators and stock exchanges, SEC travel records and U.S. Agency for International Development reimbursable programs;
- “System for Enforcement Case Tracking and Routing (SEC-58),” which contains correspondence related to litigation, pleadings in administrative proceedings, and other documents; and
- “Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO [Nationally Recognized Statistical Rating Organization] Log; and Office of Financial Responsibility Log (SEC-59),” which contains records of inquiries, requests, comments or other communications submitted to the Division of Trading and Markets’ Office of Interpretation and Guidance, the Office of Broker-Dealer Finances relating to NRSROs or to the Office of Financial Responsibility.
Click http://www.sec.gov/rules/other/2009/pa-39.pdf to access the SEC release.