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PA Bulletin, Doc. No. 00-514

NOTICES

SECURITIES COMMISSION

Individuals Registered or Applying for Registration as an Agent or Investment Adviser Representative under the Pennsylvania Securities Act of 1972

[30 Pa.B. 1616]

Order of Confidentiality

   Whereas, Individuals registered or applying for registration as an agent or investment adviser representative under the Pennsylvania Securities Act of 1972 (1972 Act) are required to file The Uniform Application for Industry Registration or Transfer (Form U-4) with the Securities Commission (Commission) under to 64 Pa. Code §§ 303.013 and 303.014; and

   Whereas, Form U-4 requires applicants and registrants to include their date of birth and social security number;

   Whereas, Section 603(c) of the 1972 Act provides that information in Form U-4 shall be made available to the public, provided that the Commission may treat certain filings as confidential; and

   Whereas, The Commission has determined that public disclosure under the 1972 Act of the information concerning the social security number and date of birth of individuals who are registered or applying for registration as agents or investment adviser representatives would be injurious to their personal economic security; and

   Whereas, After due deliberation, the Commission finds it necessary or appropriate in the public interest and for the protection of investors and consistent with the purposes fairly intended by the policy and provisions of the 1972 Act to issue the following Order:

   Now Therefore, this 24th day of February 2000, the Commission, under the grant of authority under Sections 609(a) and 603(c) of the 1972 Act hereby orders that the social security number and date of birth of individuals who are registered or applying for registration as agents or investment adviser representatives as filed on Form U-4 shall be deemed confidential and the effective date of this Order shall be February 24, 2000.

M. JOANNA CUMMINGS,   
Secretary

[Pa.B. Doc. No. 00-514. Filed for public inspection March 17, 2000, 9:00 a.m.]


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