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System of Record Notices

  • Synopses Of CFTC’s Systems Of Records

    Below are brief descriptions of each of the CFTC’s systems of records notices (SORNs) under the Privacy Act of 1974, 5 U.S.C. § 552a. Each SORN describes what, why, and how the CFTC collects, maintains and uses records in that system. The SORNs are available here.

    Exemptions
    A system is marked as “exempted” if the CFTC has exempted it from access, amendment and other provisions of the Privacy Act of 1974 pursuant to 5 U.S.C. § 552a(k)(2) because the system contains investigatory material compiled for law enforcement purposes.

    Disclosures
    The CFTC may release records as stated in an applicable SORN and also under its blanket “routine uses” of records, as authorized by the Privacy Act, 5 U.S.C. § 552a(b)(3). Follow this link for the CFTC’s complete list of blanket routine uses.

    Access Requests
    For access to or amendment of records other than those exempted, review the SORN that covers the information you are seeking.  Click the link within each of the short descriptions below to read the actual SORN.  For most systems of records, you may request access by contacting the Office of General Counsel, Paralegal Specialist at the Commission’s Headquarters:

    Office of General Counsel, Paralegal Specialist
    Commodity Futures Trading Commission
    1155 21st Street, NW
    Washington DC 20581
    Attn:  Privacy Act Request

    With your access request, please provide the following information:

    • name of the system of records;
    • a statement that the request is made pursuant to the Privacy Act;
    • a description of the nature of the record(s) sought; and
    • any other information that might assist the CFTC in identifying the record(s) sought.

    Privacy Act Resources
    For more information about the Privacy Act, see:

    Synopses (click the links to view each SORN)

    CFTC-1, Enforcement Matter Register and Matter Indices (Exempted)
    This system contains an index and registry of enforcement investigations, including but not limited to: the date opened; docket number and/or matter name; the disposition and status; the date closed; the staff member assigned, and recommendations regarding opening and closing investigations. 

    CFTC-2, Commission Correspondence Files
    This system contains correspondence maintained by various Commission offices, including but not limited to email, internet and web-based correspondence submitted by the public and internal reports and memoranda related to correspondence. 

    CFTC-3, Docket Files for Reparations and Administrative Adjudication
    This system contains all pleadings, motions, applications, stipulations, affidavits, transcripts, and documents that are part of an administrative or reparations proceeding, in addition to related correspondence and indices.  

    CFTC-4, Employee Leave, Time, and Attendance
    This system contains records reflecting employees’ time, attendance and leave status as well as leave slips and budget accounting codes.

    CFTC-5, Employee Personnel/Payroll Records
    This system contains payroll and other human resource records including but not limited to: leave and hours worked; leave balances; tax and retirement balances; life and health insurance elections; student loan repayment and other benefits information; savings allotments; savings bonds information; direct deposit information; award information; recruitment, relocation or retention bonuses, and training information.  

    CFTC-6, Employee Travel and Transportation Records
    This system includes travel and transit subsidy records, including but not limited to employee’s travel request and reimbursement records, itineraries, purposes of travel, dates, expenses, and information concerning the amount of money received as a transit subsidy.

    CFTC-8, Employment Applications
    This system contains applications, resumes and other information submitted by job applicants, and related information. 

    CFTC-9, Emergency Locator System
    This is an emergency contact system that contains the Commission’s organizational structure and telephone numbers of Commission employees and contractors. In addition, the system maintains the names, home addresses, home telephone numbers, and personal email addresses of the individuals that employees and contractors wish to have contacted in an emergency situation. 

    CFTC-10, Investigatory Records (Exempted)
    This system contains records compiled for law enforcement purposes and may include all or any part of the records developed during an investigation or inquiry of violations or potential violations of the Commodity Exchange Act, or activities of Commission members or its employees based upon formal complaints, including but not limited to data from Commission reporting forms, account statements and other trading records, exchange records, bank records and credit information, business records, information available on the Internet or other electronic sources, reports of interviews, transcripts of testimony, exhibits to transcripts, affidavits, statements by witnesses, registration information, contracts and agreements, internal memoranda, reports and orders of investigation, subpoenas, warning letters, stipulations of compliance, correspondence, and records concerning individuals whom the Commission staff has reason to believe have violated or are about to violate a law or regulation or order of another Federal, State or foreign authority and records concerning individuals whom a foreign law enforcement authority has found or alleges to have, or suspects of having, violated foreign laws, rules, regulations or orders of such foreign law enforcement authority.

    CFTC-12, Fitness Investigations
    This system includes records pertaining to the fitness of individuals or firms that engage in business subject to the Commission’s jurisdiction including but not limited to registration forms, schedules, correspondence, reports, memoranda and fingerprint cards required for individual registrants. 

    CFTC-13, Interpretive, Exemptive, and No-Action Files
    This system includes records related to requests for interpretive, exemptive and no-action letters, supplemental correspondence, any related internal memoranda, and other supporting documents, and responses to the requests that are submitted to the Commission regarding the provisions of the Commodity Exchange Act or the related regulations. 

    CFTC-14, Commodity Futures Trading Commission Alumni Records
    This system includes records about former Commission employees and contractors to allow the Commission to maintain contact with them, including but not limited to name, position, title, office address; telephone number; and with the individual’s approval, home and/or business address, home and/or business telephone number, email address, and other contact information. 

    CFTC-15, Enterprise Surveillance, Oversight & Risk Monitoring System
    This system includes records related to the Commission’s monitoring of the commodity futures and swaps markets, performance of various commodity futures and swaps market analyses, review of activities of registered entities for compliance with the Commodity Exchange Act and Commission regulations, and surveillance on both intra and inter-exchange and across side-by-side electronic trading platforms. It includes but is not limited to the following forms filed by individuals and/or firms and other records related to these forms: CFTC Forms 40 and 40S; Series 01 and Series 04 Forms; Form 71; Forms 102A, 102B and 102S.

    CFTC-16, Enforcement Case Files
    This system includes public papers filed by or with the Commission or courts in connection with administrative proceedings or injunction actions brought by the Commission. This system may include copies of complaints, motions filed, exhibits, and final decisions and orders. 

    CFTC-17, Litigation Files-OGC
    This system includes public papers filed in litigation involving administrative proceedings before the Commission; Federal court cases in which the Commission is a party; litigation where the Commission is participating as amicus curiae; and other cases involving issues of concern to the CFTC, whether brought by other law enforcement and regulatory agencies or private parties. 

    CFTC-18, Logbook on Speculative Limit Violations
    This system includes records that contain a sequential listing, by year, of the possible violations and confirmed violations of speculative limits imposed by the Commission and the exchanges. The logbook records the date notification is sent to traders and/or exchanges, the due date for reply and the date the response is received. It includes the trader's name and assigned ID, the commodity (code) involved, and the type of violation. Copies of referral letters, warning letters and replies pertaining to the violation listed are scanned and become part of the electronic record.

    CFTC-20, Registration
    This system includes records pertaining to applications for registration, registrations and the fitness of Floor Brokers, Floor Traders, Futures Commission Merchants, Introducing Brokers, Commodity Trading Advisors, Commodity Pool Operators, Leverage Transaction Merchants, Agricultural Trade Option Merchants and Associated Persons who engage in business subject to the Commission’s jurisdiction. 

    CFTC-28, Self-Regulatory Organization Disciplinary Action Files
    This system contains records related to a disciplinary or other adverse action taken by self-regulatory organizations (SRO) including but not limited to the name of the person against whom action was taken, the action taken, and the reasons for the action. 

    CFTC-29, Reparations Cases Closed in the Complaints Section
    This system includes records related to reparations complaints, answers, supporting documentation and correspondence filed with the CFTC Office of Proceedings.

    CFTC-30, Open Commission Meetings
    This system includes records related to individuals who are the subject of discussion at a Commission meeting open for public observation.

    CFTC-31, Closed Commission Meetings (Exempted)
    This system includes records about individuals who are the subject of discussion at a closed Commission meeting. Information may include but is not limited to investigatory material compiled for law enforcement purposes whose disclosure the Commission has determined could impair the effectiveness of the Commission’s regulatory, enforcement and contract market surveillance programs or investigations, and investigatory material compiled for the purpose of determining suitability, eligibility, or qualifications for employment with the Commission to the extent that it identifies a confidential source. 

    CFTC-32, Office of the Inspector General Investigative Files (Exempted)
    This system includes records relevant to investigations conducted by the Office of the Inspector General, including but not limited to information regarding individuals who are part of an investigation pertaining to fraud and abuse concerning Commission programs and operations, internal staff memoranda, copies of all subpoenas issued during the investigation, affidavits, witness statements, transcripts of testimony, accompanying exhibits, opening reports, closing reports, and an index of individuals investigated. 

    CFTC-33, Electronic Access Card
    This system includes records showing the name of the assigned CFTC user, electronic access card number, access level, and status.  It also includes card activity information, including time and location of use by card holder. 

    CFTC-34, Telecommunications Services (BlackBerry or Calling Card)
    This system includes records related to calling card numbers, CFTC mobile device numbers, and the names of the individuals to whom they are assigned.  

    CFTC-35, Interoffice and Internet E-mail
    This system includes records related to the use of the interoffice and Internet email system, including the mailbox name, number of objects in the mailbox, and the aggregate size of the mailbox. 

    CFTC-36, Internet Security Gateway Systems (Firewall, Web Content Filter, and E-mail Filter)
    This system includes records related to the websites accessed by CFTC computer network users and the inbound email they receive, as identified by the Internet protocol address assigned to each CFTC computer, as well as information on the date and time of the website that was accessed or email that was received. The email information also includes a record of the sender. 

    CFTC-37, Lexis/Westlaw Billing Information System
    This system includes records of the name, search subject, database searched, date, elapsed time, type of charge, and total charge for a search in the Lexis and Westlaw automated research systems. 

    CFTC-38, Automated Library Circulation System
    This system includes records showing the bar code assigned to individuals who use the library, and the title, due date, and hold information on library material checked-out by Commission employees as well as records of overdue materials and correspondence with employees concerning overdue materials.  

    CFTC-39, Freedom of Information Act Requests
    This system includes records related to requests, internal memoranda, response letters, appeals of denials, appeal determinations, and electronic tracking data regarding Freedom of Information Act requests submitted to the Commission. 

    CFTC-40, Privacy Act Requests
    This system includes records related to requests, internal memoranda, response letters, appeals of denials, appeal determination, and electronic tracking data regarding Privacy Act requests submitted to the Commission. 

    CFTC-41, Requests for Confidential Treatment
    This system includes records related to requests for confidential treatment, documents for which confidential treatment is requested, and electronic tracking data. 

    CFTC-42, Debt Collection Files
    This system includes records related to CFTC debt collection efforts, which generally includes records of collection made; notice to the debtor requesting payment; credit reports; reports of asset searches; copies of income tax returns; financial statements reflecting the net worth of the debtor; the basis on which the debt was terminated or compromised; and referrals to other government agencies for further collection actions.

    CFTC-43, Visitor Information System
    This system includes information needed to verify the identity of visitors to the Commission which may include: personal identity records such as driver’s license, passport, or Federal or Military identification; number of the printed badge issued; location, date and time of entry; company affiliation of visitor; name and phone number of the employee visited; and the purpose of the visit. 

    CFTC-44, Personnel Clearance System
    This system includes records related to security clearances of individuals who require regular access to the Commission facilities, information technology systems, or information classified in the interest of national security, including applicants, current and former employees, contractors, students, interns, and volunteers. The records may include, but is not limited to name, place and date of birth, prior employment information, security clearance information, clearance related investigation notes; information provided by the Office of Personnel Management (OPM) for clearance determination purposes; copies of and information derived from passports, birth certificates, driver's licenses, OF 306 forms, US “I-9 Forms,” resumes and reference information.

    CFTC-45, Comments Online
    This system includes records related to incoming comments or other input to the Commission in response to proposed rules, industry filings or other Commission request for comments associated with Commission rules, policies or procedures, provided to the Commission via the web form on the http://www.cftc.gov site, electronic mail, facsimile or postal mail. 

    CFTC-46, Lost, Stolen, Damaged or Destroyed CFTC Property
    This system includes records related to submissions of the Lost, Stolen, Damaged or Destroyed CFTC Property forms, including details concerning the loss, theft, damage or destruction of property; evidence and records collected from the individual submitting the form; copies of police reports, photos, notes from investigations, findings, recommendations and the final decision concerning responsibility for reimbursement; notes and records related to determination of whether to approve the claim and, if applicable, records related to an appeal.

    CFTC-47, Internal Electronic Collaboration Tools
    This system contains records in CFTC’s internal collaboration tools, e.g., Microsoft SharePoint, including but not limited to a staff member’s title, business and personal contact information, and organizational chart and hierarchy information. Those users who elect to participate in “MySites” may voluntarily add personal information, such as personal photographs, information about their family status, hobbies, subject matter areas of Commission business about which they are knowledgeable, personal activities, notes, messages and other content.

    CFTC-48, Personal Property Claims
    This system contains records related to the CFTC Personal Property Claims forms and process, including the information concerning the damage or loss of personal property, copies of police reports, and other information which may be needed for or is related to CFTC review and determination of whether to pay the claim and the amount of the claim.

    CFTC-49, Whistleblower Records (Exempted)
    This system includes the records related to the whistleblower tip, complaint or referral submission process, investigation or inquiry, and whistleblower award claim and determination process. The system also contains internal memoranda and declarations of Commission staff, correspondence and other miscellaneous investigatory records; correspondence with other law enforcement agencies concerning the referral of the whistleblower information and other related actions; and statements by witnesses.