83 FR 6905 - Privacy Act of 1974; System of Records
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 32 (February 15, 2018)
Federal Register Volume 83, Issue 32 (February 15, 2018)
| Page Range | 6905-6908 | |
| FR Document | 2018-03101 |
[Federal Register Volume 83, Number 32 (Thursday, February 15, 2018)] [Notices] [Pages 6905-6908] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-03101] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. PA-54; File No. S7-02-18] Privacy Act of 1974; System of Records AGENCY: Securities and Exchange Commission. ACTION: Rescindment of system of records notice. ----------------------------------------------------------------------- SUMMARY: Pursuant to the Privacy Act of 1974 and Office of Management and Budget (OMB) Circular No. A-108, the Securities and Exchange Commission (Commission or SEC) purposes to rescind 33 existing systems of records. The Notice of Rescindment identifies the system of records, explains why the SORN is being rescinded, and provides an account of what will happen to the records previously maintained in the system. DATES: The rescindments will become effective on March 27, 2018. ADDRESSES: Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's internet comment form (http://www.sec.gov/rules/other.shtml); or Send an email to [email protected]. Please include File Number S7-02-18 on the subject line. Paper Comments Send paper comments in triplicate to Brent J. Fields, Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. All submissions should refer to S7-02-18. This file number should be included on the subject line if email is used. To help process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's internet website (http://www.sec.gov/rules/other.shtml). Comments are also available for website viewing and printing in the Commission's Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Ronnette McDaniel, Privacy and Information Assurance Branch Chief, 202-551-8378 or [email protected]. SUPPLEMENTARY INFORMATION: Thirty-three systems were identified for rescindment from the SEC's Privacy Act systems of records inventory. SORNs were identified for rescindment for one of four reasons: The records (1) are not Privacy Act records; (2) will be maintained as part of a new or modified system of records; (3) are duplicative, and covered by another SEC system of records; or (4) are obsolete and no longer maintained by the SEC. A description of each rescindment justification, the applicable SORNs, and an account of what happened to the records is as follows: 1. Not a Privacy Act System of Records Mere maintenance of personal information about an individual is not enough to create a Privacy Act system of records. To satisfy the elements of a system of records, there must be (1) a group of records; (2) under the control of a government agency; and (3) those records must be retrieved by a name or other personal identifier. When one condition is no longer met, the collection ceases to qualify as a system of records. Accordingly, the following SORNs were identified for rescindment as they no longer qualify as a Privacy Act system of records. 1. SEC-12: Hearings, Proceedings and Studies. These records are no longer retrieved by a personal identifier. Records are now retrieved using a date or the name of an event. 2. SEC-13: No-action and Interpretative Letters. These records are no longer retrieved by a personal identifier. Records are now retrieved by company name and law firm name. 3. SEC-21: Division of Investment Management Correspondence and Memoranda Files. These records are no longer retrieved by a personal identifier. Records are now retrieved by date, title, or company name. 4. SEC-27: Name-Relationship Search Index (NRSI). Under the Privacy Act, a record is defined as ``any item, collection, or grouping of information [[Page 6906]] about an individual that is maintained by an agency.'' Since 2000, the NRSI has stopped maintaining records on individuals. NRSI is used as a search tool, to search records in other SEC systems; it does not store or maintain data within the system. 2. Maintained as Part of a New or Modified Systems of Records In accordance with the directive of OMB, ``if records in a system of records will be combined with another system of records or maintained as part of a new system of records, [agencies shall draft a] notice of rescindment [and] shall direct members of the public to the SORN for the system that will include the relevant records.'' Accordingly, the following SORNs were identified for rescindment. The records will be maintained as part of a new or modified system of records as described below: 1. SEC-01: 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. Records in this system will be consolidated in multiple systems of records. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 2. SEC-02: Applications for Registration or Exemption under the Investment Company Act of 1940. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 3. SEC-03: Notification of Exemption from Registration under the Securities Act of 1933. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. 4. SEC-04: Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. 5. SEC-05: 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. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. 6. SEC-06: Periodic Reports Filed under the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940 and Investment Advisers Act of 1940. Records in this system will be consolidated in multiple systems of records. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 7. SEC-07: Proposed Sale of Securities Records Filed under the Securities Act of 1933. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. 8. SEC-08: Proxy Soliciting Material Filed under the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940. Records in this system will be consolidated in multiple systems of records. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 9. SEC-09: Correspondence Files Pertaining to Registered Broker- Dealers. Records collected, maintained and used to assist the Division of Trading and Markets would be consolidated into new SORN SEC-70. 10. SEC-10: Correspondence Files Pertaining to Registered Investment Advisers. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 11. SEC-11: Correspondence Files Pertaining to Registered Investment Companies. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 12. SEC-18: Applications for Relief from Disqualification Filed Under the Securities Act of 1933 and the Commission's Rules of Practice. Records in this system will be consolidated in multiple systems of records. Records collected, maintained and used to assist the Office of General Counsel would be consolidated into modified SORN SEC-31. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 13. SEC-20: Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B. Records collected, maintained and used to assist the Division of Corporation Finance would be consolidated into new SORN SEC-68. 14. SEC-30: Office of General Counsel Work Files. Records collected, maintained and used to assist the Office of General Counsel would be consolidated into modified SORN SEC-31. 15. SEC-32: Rule 102(e) of the Commission's Rules of Practice-- Appearance and Practice Before the Commission. Records collected, maintained and used to assist the Office of General Counsel would be consolidated into modified SORN SEC-31. 16. SEC-37: Automated Personnel Management Information System. Records collected, maintained and used to assist the Office of Human Resources would be consolidated into modified SORN SEC-39. 17. SEC-40: Office of Personnel Training Files. Records collected, maintained and used to assist the Office of Human Resources would be consolidated into modified SORN SEC-39. 18. SEC-49: Broker-Dealer Records. Records collected, maintained and used to assist the Division of Trading and Markets would be consolidated into new SORN SEC-70. 19. SEC-50: Investment Adviser Records. Records collected, maintained and used to assist the Division of Investment Management would be consolidated into new SORN SEC-69. 3. Duplicative of Another SEC SORN OMB requires that each agency provide assurance that systems of records do not duplicate any existing agency or government-wide systems of records. Accordingly, the following SORNs were identified for rescindment. 1. SEC-23: Staff Time and Activity Tracking System (STATS). The records in SEC-23 are duplicative of and share the same purpose as the records in SORN SEC-15: Payroll, Attendance, Retirement and Leave Records, 75 FR 17978 (April 8, 2010). 2. SEC-25: Office of Public Affairs, Policy Evaluation and Research Records. The following records in SEC-25 are no longer used or maintained by the Office of Public Affairs and are [[Page 6907]] recommended for elimination from the notice: Speeches by Commissioners and other Commission officials. The remaining item in the categories of records is a contact list, which contains the names, telephone numbers and addresses of news reporters and editors. The contact list is essential and necessary in order to conduct official business and is duplicative of records maintained in SEC-56: Mailing, Contact and Other Lists, 74 FR 36281 (July 22, 2009). 3. SEC-34: Administrative Proceedings Records Cards. The records in SEC-34 are duplicative of and share the same purpose as the records in SORN SEC-36: Administrative Proceeding Files, 79 FR 69894 (November 24, 2014). 4. SEC-53: Automated Emergency Notification System. The records in SEC-53 are duplicative of the records in SORN SEC-51: Emergency Contingency Plan System, 68 FR 23168 (April 30, 2003). 5. SEC-59: Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility Log. The records related to broker-dealer finances were consolidated in to the new SORN SEC-70. All remaining records in SEC-59 are duplicative of and share the same purpose as the records in SORN SEC-56: Mailing, Contact and Other Lists, 74 FR 36281 (July 22, 2009). 4. Obsolete Systems The Privacy Act provides that an agency may only collect or maintain in its records information about individuals that is relevant and necessary to accomplish a purpose that is required by a statute or executive order. If a system of records is comprised of records that no longer meet this standard, the Privacy Act may require agencies to stop maintaining the system and expunge the records in accordance with the requirements in the SORN and the applicable record retention or disposition schedule approved by the National Archives and Records Administration. System managers have deemed the following systems obsolete and have declared that the records are no longer relevant to accomplish an agency mission/purpose. Accordingly, the following SORNs were identified for rescindment: 1. SEC-22: Executive/Congressional Personnel Referrals 2. SEC-26: Confidential Treatment Request Imaging System 3. SEC-35: Securities Violations Records and Bulletin 4. SEC-44: Ridesharing System 5. SEC-47: Disgorgement and Penalties Tracking System SYSTEM NAME AND NUMBER 1. SEC-01 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. 2. SEC-02 Applications for Registration or Exemption under the Investment Company Act of 1940. 3. SEC-03 Notification of Exemption from Registration under the Securities Act of 1933. 4. SEC-04 Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of 1934. 5. SEC-05 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. 6. SEC-06 Periodic Reports Filed under the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940 and Investment Advisers Act of 1940. 7. SEC-07 Proposed Sale of Securities Records Filed under the Securities Act of 1933. 8. SEC-08 Proxy Soliciting Material Filed under the Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940. 9. SEC-09 Correspondence Files Pertaining to Registered Broker- Dealers. 10. SEC-10 Correspondence Files Pertaining to Registered Investment Advisers. 11. SEC-11 Correspondence Files Pertaining to Registered Investment Companies. 12. SEC-12, Hearings, Proceedings and Studies. 13. SEC-13, No-action and Interpretative Letters. 14. SEC-18 Applications for Relief From Disqualification Filed Under the Securities Act of 1933 and the Commission's Rules of Practice. 15. SEC-20 Division of Corporation Finance Index for Filings on Schedule 13D and Filings under Regulations A and B. 16. SEC-21, Division of Investment Management Correspondence and Memoranda Files. 17. SEC-22, Executive/Congressional Personnel Referrals. 18. SEC-23: Staff Time and Activity Tracking System (STATS). 19. SEC-25, Office of Public Affairs, Policy Evaluation and Research Records. 20. SEC-26, Confidential Treatment Request Imaging System. 21. SEC-27, Name-Relationship Search Index (NRSI). 22. SEC-30 Office of General Counsel Work Files. 23. SEC-32 Rule 102(e) of the Commission's Rules of Practice-- Appearance and Practice Before the Commission. 24. SEC-34, Administrative Proceedings Records Cards. 25. SEC-35, Securities Violations Records and Bulletin. 26. SEC-37: Automated Personnel Management Information System. 27. SEC-40: Office of Personnel Training Files. 28. SEC-44, Ridesharing System. 29. SEC-47, Disgorgement and Penalties Tracking System. 30. SEC-49 Broker-Dealer Records. 31. SEC-50 Investment Adviser Records. 32. SEC-53, Automated Emergency Notification System. 33. SEC-59, Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility Log. HISTORY: ------------------------------------------------------------------------ Federal Register No. and System No. publication date ------------------------------------------------------------------------ SEC-01................................ 40 FR 39253 (August 27, 1975). SEC-02................................ 40 FR 39253 (August 27, 1975); 64 FR 69051 (December 9, 1999); and 66 FR 7820 (January 25, 2001). SEC-03................................ 40 FR 39253 (August 27, 1975) and 46 FR 44328 (September 3, 1981). SEC-04................................ 40 FR 39253 (August 27, 1975). SEC-05................................ 40 FR 39253 (August 27, 1975). SEC-06................................ 40 FR 39253 (August 27, 1975) and 59 FR 27626 (May 27, 1994). SEC-07................................ 40 FR 39253 (August 27, 1975) and 59 FR 27626 (May 27, 1994). SEC-08................................ 40 FR 39253 (August 27, 1975) and 59 FR 27626 (May 27, 1994). SEC-09................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997). [[Page 6908]] SEC-10................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997). SEC-11................................ 40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1997). SEC-12................................ 40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997). SEC-13................................ 40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997). SEC-18................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997). SEC-20................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997). SEC-21................................ 40 FR 39253 (August 27, 1975); 77 FR 65913 (October 31, 2012); and 78 FR 41962 (July 12, 2013). SEC-22................................ 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 56 FR 24103 (May 27, 1994); and 62 FR 47884 (September 14, 1997). SEC-23................................ 44 FR 7002 (February 5, 1979); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997). SEC-25................................ 41 FR 5318 (February 5, 1976); 42 FR 36333 (July 14, 1977); 46 FR 22091 (April 15, 1981); 49 FR 28498 (July 12, 1984); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997). SEC-26................................ 62 FR 47889 (September 11, 1997). SEC-27................................ 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 49 FR 28498 (July 12, 1984); 56 FR 24103 (May 27, 1994); and 62 FR 47884 (September 14, 1997). SEC-30................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997). SEC-32................................ 40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1994). SEC-34................................ 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997). SEC-35................................ 40 FR 39253 (August 27, 1975). SEC-37................................ 43 FR 21769 (May 19, 1978); 46 FR 31128 (June 12, 1981); 56 FR 24103 (June 3, 1991); 57 FR 14594 (April 21, 1992); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 14, 1997). SEC-40................................ 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 42 FR 36333 (July 14, 1977); 56 FR 24103 (June 1, 1991); and 62 FR 479884 (September 11, 1997). SEC-44................................ 63 FR 37423 (July 10, 1998). SEC-47................................ 64 FR 19840 (April 22, 1999). SEC-49................................ 64 FR 69051 (December 9, 1999). SEC-50................................ 66 FR 7820 (January 25, 2001). SEC-53................................ 71 FR 3907 (January 24, 2006). SEC-59................................ 74 FR 36281 (July 22, 2009). ------------------------------------------------------------------------ By the Commission. Dated: February 9, 2018. Brent J. Fields, Secretary. [FR Doc. 2018-03101 Filed 2-14-18; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices 6905
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL —41 FR 5318 (February 5, 1976) available for website viewing and
SAFEGUARDS: —41 FR 11631 (March 19, 1976) printing in the Commission’s Public
Access to SEC facilities, data centers, —41 FR 41591 (September 22, 1976) Reference Room, 100 F Street NE,
and information or information systems —42 FR 36333 (July 14, 1977) Washington, DC 20549, on official
is limited to authorized personnel with —46 FR 63439 (December 31, 1981) business days between the hours of 10
official duties requiring access. SEC —50 FR 37750 (September 17, 1985) a.m. and 3 p.m. All comments received
facilities are equipped with security —62 FR 47884 (September 11, 1997) will be posted without change; we do
cameras and 24 hour security guard —72 FR 2036 (January 17, 2007) not edit personal identifying
service. The records are kept in limited By the Commission. information from submissions. You
access areas during duty hours and in Dated: February 9, 2018. should submit only information that
locked file cabinets and/or locked Brent J. Fields, you wish to make available publicly.
offices or file rooms at all other times. Secretary. FOR FURTHER INFORMATION CONTACT:
Computerized records are safeguarded Ronnette McDaniel, Privacy and
[FR Doc. 2018–03100 Filed 2–14–18; 8:45 am]
in a secured, encrypted environment. Information Assurance Branch Chief,
BILLING CODE 8011–01–P
Security protocols meet the 202–551–8378 or privacyhelp@sec.gov.
promulgating guidance as established by SUPPLEMENTARY INFORMATION: Thirty-
the National Institute of Standards and SECURITIES AND EXCHANGE three systems were identified for
Technology (NIST) Security Standards COMMISSION rescindment from the SEC’s Privacy Act
from Access Control to Data Encryption systems of records inventory. SORNs
and Security Assessment & [Release No. PA–54; File No. S7–02–18]
were identified for rescindment for one
Authorization (SA&A). Records will be of four reasons: The records (1) are not
maintained in a secure, password- Privacy Act of 1974; System of
Records Privacy Act records; (2) will be
protected electronic system that will maintained as part of a new or modified
utilize commensurate safeguards that AGENCY: Securities and Exchange system of records; (3) are duplicative,
may include: Firewalls, intrusion Commission. and covered by another SEC system of
detection and prevention systems, and ACTION: Rescindment of system of records; or (4) are obsolete and no
role-based access controls. Additional records notice. longer maintained by the SEC. A
safeguards will vary by program. All description of each rescindment
records are protected from unauthorized SUMMARY: Pursuant to the Privacy Act of justification, the applicable SORNs, and
access through appropriate 1974 and Office of Management and an account of what happened to the
administrative, operational, and Budget (OMB) Circular No. A–108, the records is as follows:
technical safeguards. These safeguards Securities and Exchange Commission
include: Restricting access to authorized (Commission or SEC) purposes to 1. Not a Privacy Act System of Records
personnel who have a ‘‘need to know’’; rescind 33 existing systems of records. Mere maintenance of personal
using locks; and password protection The Notice of Rescindment identifies information about an individual is not
identification features. Contractors and the system of records, explains why the enough to create a Privacy Act system
other recipients providing services to SORN is being rescinded, and provides of records. To satisfy the elements of a
the Commission shall be required to an account of what will happen to the system of records, there must be (1) a
maintain equivalent safeguards. records previously maintained in the group of records; (2) under the control
RECORD ACCESS PROCEDURES:
system. of a government agency; and (3) those
Persons wishing to obtain information DATES: The rescindments will become records must be retrieved by a name or
on the procedures for gaining access to effective on March 27, 2018. other personal identifier. When one
or contesting the contents of these ADDRESSES: Comments may be condition is no longer met, the
records may contact the FOIA/PA submitted by any of the following collection ceases to qualify as a system
Officer, Securities and Exchange methods: of records. Accordingly, the following
Commission, 100 F Street NE, Mail Stop SORNs were identified for rescindment
Electronic Comments as they no longer qualify as a Privacy
5100, Washington, DC 20549–2736.
• Use the Commission’s internet Act system of records.
CONTESTING RECORD PROCEDURES: comment form (http://www.sec.gov/ 1. SEC–12: Hearings, Proceedings and
See Record Access Procedures above. rules/other.shtml); or Studies. These records are no longer
NOTIFICATION PROCEDURES:
• Send an email to rule-comments@ retrieved by a personal identifier.
sec.gov. Please include File Number S7– Records are now retrieved using a date
All requests to determine whether this or the name of an event.
02–18 on the subject line.
system of records contains a record 2. SEC–13: No-action and
pertaining to the requesting individual Paper Comments Interpretative Letters. These records are
may be directed to the FOIA/PA Officer, Send paper comments in triplicate to no longer retrieved by a personal
Securities and Exchange Commission, Brent J. Fields, Secretary, U.S. Securities identifier. Records are now retrieved by
100 F Street NE, Mail Stop 5100, and Exchange Commission, 100 F Street company name and law firm name.
Washington, DC 20549–2736. NE, Washington, DC 20549–1090. All 3. SEC–21: Division of Investment
EXEMPTIONS PROMULGATED FOR THE SYSTEM: submissions should refer to S7–02–18. Management Correspondence and
This file number should be included on Memoranda Files. These records are no
sradovich on DSK3GMQ082PROD with NOTICES
None.
the subject line if email is used. To help longer retrieved by a personal identifier.
HISTORY: process and review your comments Records are now retrieved by date, title,
This SORN was last published in full more efficiently, please use only one or company name.
in the Federal Register at 40 FR 39253 method. The Commission will post all 4. SEC–27: Name-Relationship Search
(August 27, 1975). Subsequent notices comments on the Commission’s internet Index (NRSI). Under the Privacy Act, a
of revision can be found at the following website (http://www.sec.gov/rules/ record is defined as ‘‘any item,
citations: other.shtml). Comments are also collection, or grouping of information
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about an individual that is maintained would be consolidated into new SORN Corporation Finance would be
by an agency.’’ Since 2000, the NRSI has SEC–68. consolidated into new SORN SEC–68.
stopped maintaining records on 6. SEC–06: Periodic Reports Filed Records collected, maintained and used
individuals. NRSI is used as a search under the Securities Act of 1933, to assist the Division of Investment
tool, to search records in other SEC Securities Exchange Act of 1934, Public Management would be consolidated
systems; it does not store or maintain Utility Holding Company Act of 1935, into new SORN SEC–69.
data within the system. and Investment Company Act of 1940 13. SEC–20: Division of Corporation
and Investment Advisers Act of 1940. Finance Index for Filings on Schedule
2. Maintained as Part of a New or Records in this system will be 13D and Filings under Regulations A
Modified Systems of Records consolidated in multiple systems of and B. Records collected, maintained
In accordance with the directive of records. Records collected, maintained and used to assist the Division of
OMB, ‘‘if records in a system of records and used to assist the Division of Corporation Finance would be
will be combined with another system Corporation Finance would be consolidated into new SORN SEC–68.
of records or maintained as part of a consolidated into new SORN SEC–68. 14. SEC–30: Office of General Counsel
new system of records, [agencies shall Records collected, maintained and used Work Files. Records collected,
draft a] notice of rescindment [and] to assist the Division of Investment maintained and used to assist the Office
shall direct members of the public to the Management would be consolidated of General Counsel would be
SORN for the system that will include into new SORN SEC–69. consolidated into modified SORN SEC–
the relevant records.’’ Accordingly, the 7. SEC–07: Proposed Sale of 31.
following SORNs were identified for Securities Records Filed under the 15. SEC–32: Rule 102(e) of the
rescindment. The records will be Securities Act of 1933. Records Commission’s Rules of Practice—
maintained as part of a new or modified collected, maintained and used to assist Appearance and Practice Before the
system of records as described below: the Division of Corporation Finance Commission. Records collected,
1. SEC–01: Registration Statements would be consolidated into new SORN maintained and used to assist the Office
Filed Pursuant to Provisions of the SEC–68. of General Counsel would be
Securities Act of 1933, Securities 8. SEC–08: Proxy Soliciting Material consolidated into modified SORN SEC–
Exchange Act of 1934, Public Utility Filed under the Securities Exchange Act 31.
Holding Company Act of 1935, and of 1934, Public Utility Holding 16. SEC–37: Automated Personnel
Investment Company Act of 1940. Company Act of 1935, and Investment Management Information System.
Records in this system will be Company Act of 1940. Records in this Records collected, maintained and used
consolidated in multiple systems of system will be consolidated in multiple to assist the Office of Human Resources
records. Records collected, maintained systems of records. Records collected, would be consolidated into modified
and used to assist the Division of maintained and used to assist the SORN SEC–39.
Corporation Finance would be Division of Corporation Finance would 17. SEC–40: Office of Personnel
consolidated into new SORN SEC–68. be consolidated into new SORN SEC– Training Files. Records collected,
Records collected, maintained and used 68. Records collected, maintained and maintained and used to assist the Office
to assist the Division of Investment used to assist the Division of Investment of Human Resources would be
Management would be consolidated Management would be consolidated consolidated into modified SORN SEC–
into new SORN SEC–69. into new SORN SEC–69. 39.
2. SEC–02: Applications for 9. SEC–09: Correspondence Files 18. SEC–49: Broker-Dealer Records.
Registration or Exemption under the Pertaining to Registered Broker-Dealers. Records collected, maintained and used
Investment Company Act of 1940. Records collected, maintained and used to assist the Division of Trading and
Records collected, maintained and used to assist the Division of Trading and Markets would be consolidated into
to assist the Division of Investment Markets would be consolidated into new SORN SEC–70.
Management would be consolidated new SORN SEC–70. 19. SEC–50: Investment Adviser
into new SORN SEC–69. 10. SEC–10: Correspondence Files Records. Records collected, maintained
3. SEC–03: Notification of Exemption Pertaining to Registered Investment and used to assist the Division of
from Registration under the Securities Advisers. Records collected, maintained Investment Management would be
Act of 1933. Records collected, and used to assist the Division of consolidated into new SORN SEC–69.
maintained and used to assist the Investment Management would be
Division of Corporation Finance would consolidated into new SORN SEC–69. 3. Duplicative of Another SEC SORN
be consolidated into new SORN SEC– 11. SEC–11: Correspondence Files OMB requires that each agency
68. Pertaining to Registered Investment provide assurance that systems of
4. SEC–04: Beneficial Ownership, Companies. Records collected, records do not duplicate any existing
Acquisition, Tender Offer, and maintained and used to assist the agency or government-wide systems of
Solicitation Records Filed under the Division of Investment Management records. Accordingly, the following
Securities Exchange Act of 1934. would be consolidated into new SORN SORNs were identified for rescindment.
Records collected, maintained and used SEC–69. 1. SEC–23: Staff Time and Activity
to assist the Division of Corporation 12. SEC–18: Applications for Relief Tracking System (STATS). The records
Finance would be consolidated into from Disqualification Filed Under the in SEC–23 are duplicative of and share
new SORN SEC–68. Securities Act of 1933 and the the same purpose as the records in
5. SEC–05: Ownership Reports and Commission’s Rules of Practice. Records
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SORN SEC–15: Payroll, Attendance,
Insider Trading Transaction Records in this system will be consolidated in Retirement and Leave Records, 75 FR
Filed under the Securities Exchange Act multiple systems of records. Records 17978 (April 8, 2010).
of 1934, Public Utility Holding collected, maintained and used to assist 2. SEC–25: Office of Public Affairs,
Company Act of 1935, and Investment the Office of General Counsel would be Policy Evaluation and Research
Company Act of 1940. Records consolidated into modified SORN SEC– Records. The following records in SEC–
collected, maintained and used to assist 31. Records collected, maintained and 25 are no longer used or maintained by
the Division of Corporation Finance used to assist the Division of the Office of Public Affairs and are
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![6908 Federal Register / Vol. 83, No. 32 / Thursday, February 15, 2018 / Notices
System No. Federal Register No. and publication date
SEC–10 ................... 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
SEC–11 ................... 40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1997).
SEC–12 ................... 40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
SEC–13 ................... 40 FR 39258 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
SEC–18 ................... 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
SEC–20 ................... 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
SEC–21 ................... 40 FR 39253 (August 27, 1975); 77 FR 65913 (October 31, 2012); and 78 FR 41962 (July 12, 2013).
SEC–22 ................... 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 56 FR 24103 (May 27, 1994); and 62 FR 47884 (Sep-
tember 14, 1997).
SEC–23 ................... 44 FR 7002 (February 5, 1979); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 14, 1997).
SEC–25 ................... 41 FR 5318 (February 5, 1976); 42 FR 36333 (July 14, 1977); 46 FR 22091 (April 15, 1981); 49 FR 28498 (July 12,
1984); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997).
SEC–26 ................... 62 FR 47889 (September 11, 1997).
SEC–27 ................... 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 49 FR 28498 (July 12, 1984); 56 FR 24103 (May 27,
1994); and 62 FR 47884 (September 14, 1997).
SEC–30 ................... 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994); and 62 FR 47884 (September 11, 1997).
SEC–32 ................... 40 FR 39253 (August 27, 1975) and 62 FR 47884 (September 11, 1994).
SEC–34 ................... 40 FR 39253 (August 27, 1975); 59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 11, 1997).
SEC–35 ................... 40 FR 39253 (August 27, 1975).
SEC–37 ................... 43 FR 21769 (May 19, 1978); 46 FR 31128 (June 12, 1981); 56 FR 24103 (June 3, 1991); 57 FR 14594 (April 21, 1992);
59 FR 27626 (May 27, 1994) and 62 FR 47884 (September 14, 1997).
SEC–40 ................... 40 FR 39253 (August 27, 1975); 41 FR 5321 (February 5, 1976); 42 FR 36333 (July 14, 1977); 56 FR 24103 (June 1,
1991); and 62 FR 479884 (September 11, 1997).
SEC–44 ................... 63 FR 37423 (July 10, 1998).
SEC–47 ................... 64 FR 19840 (April 22, 1999).
SEC–49 ................... 64 FR 69051 (December 9, 1999).
SEC–50 ................... 66 FR 7820 (January 25, 2001).
SEC–53 ................... 71 FR 3907 (January 24, 2006).
SEC–59 ................... 74 FR 36281 (July 22, 2009).
By the Commission. Statistical Rating Organizations of automated collection techniques or
Dated: February 9, 2018. (‘‘NRSROs’’) to have policies and other forms of information technology.
Brent J. Fields, procedures with respect to the Consideration will be given to
Secretary. procedures and methodologies the comments and suggestions submitted in
[FR Doc. 2018–03101 Filed 2–14–18; 8:45 am] NRSRO uses to determine credit ratings, writing within 60 days of this
BILLING CODE 8011–01–P
with respect to the symbols, numbers, or publication.
scores it uses to denote credit ratings, to The Commission may not conduct or
address instances in which a look-back sponsor a collection of information
SECURITIES AND EXCHANGE review determines that a conflict of unless it displays a currently valid
COMMISSION interest influenced a credit rating, and control number. No person shall be
to consider certain prescribed factors for subject to any penalty for failing to
Proposed Collection; Comment an effective internal structure. Rule 17g– comply with a collection of information
Request 9 contains requirements for NRSROs to subject to the PRA that does not display
ensure that any person employed by an a valid Office of Management and
Upon Written Request Copies Available NRSRO to determine credit ratings Budget (OMB) control number.
From: Securities and Exchange meets standards necessary to produce Please direct your written comments
Commission, Office of FOIA Services, accurate ratings. Currently, there are 10 to: Pamela Dyson, Director/Chief
100 F Street NE, Washington, DC credit rating agencies registered as Information Officer, Securities and
20549–2736. NRSROs with the Commission. The Exchange Commission, c/o Remi Pavlik-
Rule 17g–8 & 9, SEC File No. 270–645, Commission estimates that the total Simon, 100 F St NE, Washington, DC
OMB Control No. 3235–0693. burden for respondents to comply with 20549 or send an email to: PRA_
Notice is hereby given that pursuant Rule 17g–8 is 1,450 hours and to Mailbox@sec.gov.
to the Paperwork Reduction Act of 1995 comply with Rule 17g–9 is 25,004 Dated: February 9, 2018.
(44 U.S.C. 3501 et seq.), the Securities hours. Eduardo A. Aleman,
and Exchange Commission Written comments are invited on: (a)
Whether the proposed collection of Assistant Secretary.
(‘‘Commission’’) is soliciting comments
information is necessary for the proper [FR Doc. 2018–03096 Filed 2–14–18; 8:45 am]
on the existing collection of information
provided for in Rule 17g–8 and 17g–9 performance of the functions of the BILLING CODE 8011–01–P
under the Securities Exchange Act of Commission, including whether the
1934 (15 U.S.C. 78a et seq.).1 The information shall have practical utility;
(b) the accuracy of the Commission’s SECURITIES AND EXCHANGE
sradovich on DSK3GMQ082PROD with NOTICES
Commission plans to submit this
estimates of the burden of the proposed COMMISSION
existing collection of information to the
Office of Management and Budget for collection of information; (c) ways to
Proposed Collection; Comment
extension and approval. enhance the quality, utility, and clarity
Request
Rule 17g–8 contains certain of the information on respondents; and
requirements for Nationally Recognized (d) ways to minimize the burden of the Upon Written Request Copies Available
collection of information on From: Securities and Exchange
1 See 17 CFR 240.17g–1 and 17 CFR 249b.300. respondents, including through the use Commission, Office of FOIA Services,
VerDate Sep<11>2014 19:01 Feb 14, 2018 Jkt 244001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\15FEN1.SGM 15FEN1](https://thefederalregister.org/doc/83_FR_6937/page/4.svg)
Document Created: 2018-02-15 00:21:02
Document Modified: 2018-02-15 00:21:02
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Rescindment of system of records notice. | |
| Dates | The rescindments will become effective on March 27, 2018. | |
| Contact | Ronnette McDaniel, Privacy and Information Assurance Branch Chief, 202-551-8378 or [email protected] | |
| FR Citation | 83 FR 6905 |
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