The Privacy Act requires Federal agencies to publish a system of records notice (SORN) in the Federal Register upon the establishment and/or modification of a system of records describing the existence and
character of the system. A SORN identifies the system of records, the purpose(s) of the system, the authority for maintaining the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, as well as additional details about the safeguards in place to protect the records. A system of records is a group of records under the control of a Federal agency from which information
is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual (such as name, employee number, social security number, etc.). The Privacy Act includes provisions that allow Federal agencies to claim exemptions from certain requirements in the statute. A SORN is marked as “exempted” if the CFTC has claimed exemptions for the particular system of records. Pursuant to the Privacy Act at 5 U.S.C. § 552a(e)(4)(d), Federal agencies are required to publish in the Federal Register each routine use of the records contained in the system, including the categories of users and purpose of such use. The full texts of the SORNs can be consulted by clicking on the respective link. An asterisk indicates whether routine uses are listed in the CFTC’s separate list of
blanket routine uses . CFTC-1 , Enforcement Matter Register and Matter Indices* (Exempted) 76 FR 5973 CFTC-2 , Commission Correspondence Files* 76 FR 5973 CFTC-3 , Docket Files for Reparations and Administrative
Adjudication* 76 FR 5973 CFTC-10
, Investigatory Records* (Exempted) 76 FR 5973 CFTC-12 ,
National Futures Association (NFA) Applications Suite System (Exempted) 84 FR 17811 CFTC-13 , Interpretive, Exemptive, and No-Action Files* 76 FR 5973 CFTC-15 , Enterprise Surveillance, Oversight & Risk Monitoring System* 77 FR 58814 CFTC-16 , Enforcement Case Files* 76 FR 5973 CFTC-17 , Litigation Files-OGC* 76 FR 5973 CFTC-18
, Logbook on Speculative Limit Violations* 76 FR 5973 CFTC-20 , Registration RETIRED 79 FR 58751 CFTC-28 , Self-Regulatory Organization Disciplinary Action Files RETIRED 79 FR 58751 CFTC-29 , Reparations Cases Closed in the Complaints Section* 76 FR 5973 CFTC-30 , Open Commission Meetings* 76 FR 5973 CFTC-31 , Closed Commission Meetings (Exempted)* 76 FR 5973 CFTC-39 , Freedom of Information Act Requests 83 FR 34123 CFTC-40 , Privacy Act Requests 83 FR 34123 CFTC-41 , Requests for Confidential Treatment 76 FR 5973 CFTC-42 , Debt Collection Files 76 FR 5973 CFTC-43 , Visitor Information System 76 FR 5973 CFTC-45 , Comments Online 84 FR 17816 CFTC-49 ,
Whistleblower Records (Exempted) 77 FR 41378 CFTC-50 , LabCFTC 83 FR 104 CFTC-53 , Mailing, Event, and General Contact Lists 84 FR 17814 SORNs Related to CFTC’s Employees and ContractorsCFTC-4 , Employee Leave, Time, and Attendance, CONSOLIDATED INTO CFTC-5 81 FR 67327 CFTC-5 , Employee Personnel, Payroll, Time, and Attendance* 81 FR 67327 CFTC-6 , Employee Travel and Transportation Records 76 FR 5973 CFTC-8, Employment Applications, WITHDRAWN 81 FR 67331 CFTC-9 , Emergency Locator System* 76 FR 5973 CFTC-14 , Commodity Futures Trading Commission Alumni Records* 76 FR 5973 CFTC-32 , Office of the Inspector General Investigative
Files* (Exempted) 76 FR 5973 CFTC-33 , Electronic Access Card* 76 FR 5973 CFTC-34 , Telecommunications Services (BlackBerry or Calling Card), CONSOLIDATED INTO CFTC-35 76 FR 5973 CFTC-35 , General Information Technology Records* 81 FR 67327 CFTC-36 , Internet Security Gateway Systems (Firewall, Web Content Filter, and E-mail Filter), CONSOLIDATED INTO CFTC-35 81 FR 67327 CFTC-37 , Lexis/Westlaw Billing Information System* 76 FR 5973 CFTC-38 , Automated Library Circulation System* 76 FR 5973 CFTC-44 , Personnel Clearance System 77 FR 41378 CFTC-46
, Lost, Stolen, Damaged, or Destroyed CFTC Property 77 FR 2048 CFTC-47 , Internal Electronic Collaboration Tools 77 FR 2048 CFTC-48 , Personal Property Claims 77 FR 41378 CFTC -51 , Contractors and Consultants 83 FR 5997 CFTC -52 , Training Records 83 FR 23433 CFTC-54, Ensuring Workplace Health and Safety in Response to a Public Health Emergency 85 FR 60981 CFTC-55, Dental Benefits Records 85 FR 82458 CFTC-57, Reasonable Accommodations Records 86 FR 70116 When must a breach be reported to the US Computer?Report all cyber-related incidents involving the actual or suspected breach/compromise of PII within one hour of discovery to the United States Computer Emergency Readiness Team (US-CERT) by completing and submitting the US-CERT report at https://www.us-cert.gov/forms/report.
Which of the following are fundamental objectives of information security?Security of computer networks and systems is almost always discussed within information security that has three fundamental objectives, namely confidentiality, integrity, and availability.
What type of information does the minimum necessary standard refer to under the HIPAA Privacy Rule?The minimum necessary standard requires covered entities to evaluate their practices and enhance safeguards as needed to limit unnecessary or inappropriate access to and disclosure of protected health information.
Which of the following are examples of personally identifiable?Personal identification numbers: social security number (SSN), passport number, driver's license number, taxpayer identification number, patient identification number, financial account number, or credit card number. Personal address information: street address, or email address. Personal telephone numbers.
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