Responsive Document - CREW: SEC: Regarding Reforms in Wake of Madoff Scandal: 12/6/2011 - 11 08196 FOIA Enclosures

8/3/2019 Responsive Document - CREW: SEC: Regarding Reforms in Wake of Madoff Scandal: 12/6/2011 - 11 08196 FOIA E

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Anneom: .. ':

Swindler, Jo AnneWednesday, March 10, 20104:39'PMBrigaglial'lo,James.ABussey, B ria n A .; Ito, Marie D. .'AdditionatguidancC3 on orvision's policy re tips and complaints'

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SEC Administrative Notices .Wednesday, March 10,2010 2:25 PMIntake Policy Oil Tips, Complaints and ReferralsSEC ADMINISTRATIVE NOTICE

: . All Staff.Intake Policy on Tips, Complaints, and Referrals Received by SECstaff

ay the SEC issued a new administrative regulation setting out the agency's intake policyrding the processing oftips, complaints, and referrals ("TCRs") received by SEC staff. Thecy delineates the responsibilities and actions required of each employee should they receiveR regarding the actions of an individual, firm.or company.s policy applies to all SEC personnel, including. fellows, interns, contractors, or anyoneloyed ona full-time or part-time basis by the SEC. It is effective immediately. The policybe found on Thp T nc'rI",r


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heattciched is the presentation for today;

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. Gb '" ."oto: . ..... '1 .rsigninas a Guest or 'with Y ( ) U r Cisco M~tjngPlace User f r ) , - and dick on Attend Meeting.. r: Accept any security warnings you receive and wait for the Meeting Room to initialize .EST YOUR BROW SER BEFORE YOU ATTE~D YOUR FIRST W EB CONFERENCEsit https:Oopc-ad-mpl/test/ to test your web browser for compatibility with. the web conference.'.' . . . .". '. .or moreintormation about Cisco MeetingPlaceinciuding Meeting TIps and FAQ's, pleasevisit the User Help atitps:lf


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Vorosmarti,Richatd. '. .. ., ".

Swindler;J~Anne' ..Monday;M


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ession 2 Externallntake(Screens Roles and WorkflOw) ., 5/18/10

6/24/10

ession 3 Int~rnaU(ltake,(SGrgn$ H:oJ~sandWQrk~pw} .' ,q/20/10SP-30QO. s e - 9000

ession4 -. Inte.rnallntake{ScreensRoles and Workflow) ..5/25/10 SP.:. 30006 /1 /10 -essionf .Manual Triage (Search, Update, Archive) -fj/27/106 ManualTdage(Search, Update, Archive)

7 - -.Resolution (Screens Roles and Workflow} 6/3/tO_"ession8 . Resolution(Scre~nsHQlesahd;Workf!pw) .ess.ion9 System Interfaces '6/10110

- ' $ P -30.bel '

SP -4000sp- 3000ession 10 . Systernlnterfaces IRIS (and.others) 6/15/10

t-' Workflow' .. -& / 171:1 0 ' .'ssion 12.. _Management Reports 6/22/10ession 13. -Workflow (if required)ession 14 Management Reports (if required) 06/29/10you have any questions, please let me know...-' \']'PMP' .' .. .. . .J fApplication and Software.Development

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SP- 3000SP-5000.SP -4000SP- 8280 .SP - 3000

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orosmarti, Richardrom: SEC Administrative NoticesSunday, March 13,2011 8:22 PMSEC Administrative Notice: Tips, Complaints and Referrals (TCR) Intake and ResolutionSystem Implementation .

Tips, Complaints and Referrals (TCR) Intake and Resolution System ImplementationMarch 14,.2011 ..

he Tips, Complaints and ReferralsExecutive Steering' Committee is pleased to announce.thatthe new Tips, Complaintsnd Referrals (TCtR take and Resolution system is deployed .and ready for use. -In conjunctlon with this deployment aew TCR Website ,. . . .... .' .: ..'s also being launched. The TCRWebsite containsinks to the TCR I '. e and ResbiutionPoficyarid Procedures, usi{- guide, training material, supportinformation, and a listf points of contact.he TCR Intake and Resolution system is to be only used for authorized government purposes. 00 not distributeormation retrieved from TCR to any unauthorized individuals. Please read the applicable policies and proceduresefore accessing the system. By logging into this system the user acknowledges that he/she has read the policies androcedures and agrees to abide by them. .

the s y s t e m ,Theuser ID a n d p a S s W o i doa c c e s sthe.;;;' i se same as your network user 10 and password. If you are unable to access the system and you believe you shouldave been granted access please contact your division/office points of contact. '.. .' ',' .lease note that the Tip~, Complaints and Referrals (TCR) Transitional Repository system will be available for search onlyurposes for a limited time. .'lfOU-".aveanyq.uestions.or concern~, Ple.as.econtac(@SEC.gov), oryour TCR po int of contact. ...J' .

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Vorasmarti, RichardFrom:Sent: SEC Administrative NoticesFriday, March 11, 2011 1:04PM .. ...SEC Administrative Notice;Tips, Complaints and Referrals (TCR)SystemUpgrade Activity-March 11, 2011 . . ..

Tips, Complaints and Referrals (TCR) System Upgrade ActiVityMarch 11,2011 .

he Office of Information Technology will be conducting system upgrade activities on the.Tips; Complaints and ReferralsTCR) system beginning Friday March 11th, Please note that the Tips, Complaints and Referrals (TCR) Transitionalpository system will be unavailable for the P!1blicas well as Commission users from Friday;' March .11tq 9:00 PM (EST)hrough Sunday, March 13th . Once the TCR system is available for use another SEC Administrative Notice will be sentith. detailed instruction on accessing the TGR system. . . .you have any questions or concerns, pleasecontacrffice of Information Technology . L I jffisec.gov) ate .. JorbyemaH.

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This policy applies to all SEC personnel, including f~llows, interns,contra~tors,.oranyone'employed on a full-time or part-time basis by the SEC. Itis effective immediately. The

fOUD? onTheInsider~t . 7 !

. .Each staff member, has the responsibility to record or transfer to a designated . .person/group, as detailed in the regulation, any Information which they receive through a

R. Absent extenuating Circumstances, any transfer of information for recordationust occur within one business day of receiving a TCR, and information is to be recordedithin three business days of its.receipt-and/or transfer.

.' .' ." '. . ~ .'ou are urged toread the regulation in full soas tofamiliarize yourself with the intake. .ocess for your respective Division or Office.All Divisions and Offices shouldisseminate their intake.process and their designated intake staff. Please check with yourmmediate supervisor.should you have any questions regarding the policy. .

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hankyouforyour continued attention tothis matter.Jamie

.. ' . '_.

mes BrigaglianoDirectorivision of Trading and Marketsecurities and Exchange CommissionaShington, D.C. ~.0549.51;.:s700 .772-9273 (fax)

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SEC Administrative Notices.ent: Wednesday, March 10, 2010 2:25 PMIntake Policy on Tips, Complaints and Referrals

SEC ADMINISTRAl'IVE NOTICE

O: AUStaffUBJECT: Intake Policyon TipscComplaints, and Referrals Received by SEC staff

, 'oday the SEC issued a n ew administratise-regulation setting outthe agency's intakeolicy.regarding the processing of tips;'complainfs; and referrals ("TCRs~') received byCstaff. 'The policy delineates th e responsibilities and actions required of eachployee should they receivea -Tel l regarding file actions of an individual, firm, ormp3:uy.

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From:'Sent: .To: '~OidaY' ~.11. 2610.11:19AM. .'. ' ffTM \EVE ;RYQ ~E ....: .: .,c ....... ...: .... '.' '. .: ~ .. 'RE : T C F t - HOW,TO. TA ,KE ,SCRE ENS~ ( )Tq .FR ( ) .MTHE Wf :: S ,. .. .ere are somebasicIDsttUCtioIlsbri h6wtofuk:eScreerlShotsfrom the Web: ...

1. whejfyotiNemthe\lveb6rdwset'page:you want to-captu re , Press the"PttScn~'(Print Screen) key o nyour keyboard2. If you want to send the screenshot immediately' Y9u can.open a new outlook message, click on the Body. ..textarea'cfthe ruessage;'and paste/the screenshotusing your keyboardsh6Hcuf"CtrI+V"or using the' .tool barselect"Edif'and"paste", \~, .:, .... ' '.

Note: ifyou want to ta~severa;[ screenshotstosendtater-you canrepeat this wtthinaMS Worddocument.3. If the page you want capture is longer than thescreen and if you want to take a screenshot of the entire

page, then you can use the browser printbutton and select to print to a "Adobe PDF" file, save it toyour desk top and send this as an attachment. .f~ouhave~h~r questions or need more help please email TM-IT-~upport mailbox and either[ . Jan.ssist you With this. . . . . . .

... :Jnior IT SpecialistS. Securities and Exchange CommissionViSionQ~T~ding and lMat.kets

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. _j..Brigagliano, James A .Thursday, March 11, 20108:48 AM ..o :' #TM \E vE R YQ NE . .

ubject: FW: Intake Policy on Tips, Complaints and Referrals

o aUfellow TM staff:

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rom: "ent:. ,ubjec;t: "SEC Administrative NoticesWednesday. MarchiO, 2Q10 2:25PMInt~l


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.orosmarti, Richard

Sent:{o: .$ubj~ct:

.Brigagfiano, James A.Thursday, lY lar~hJ1, 201 0 8:4~ AM ,#TM\EVERY-GNEi .', .' .: ; . . '>~ ; : . .FW: Intake Policy on Tips, Complaints and Referrals

" . . .' . .To allfellowTM staff:

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J. . 1 . 1 \-}i!. ,. f. . " 1"t 1

hankY0t,JJoryour continuedattentlon. t o thisritatter.. ~ '. -r ~ :

mes Brigaglianoputy Directorvision of Trading and Markets.curities and Exchange Commission0 F Street N.E.ashington, D.C. 20549

(fax)

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ach staff member has the responsibility to record or transfer to a designated person! group, asetailed in the regulation, any information which they receive through a TCR. Absentxtenuating circumstanceaany transfer of information for recordation must OCcurwithin oneusinessday ofreceiving a TCR, and information is to be recorded within three business daysf its receipt and/or transfer. . 'ouare urged to read the regulation in full.so as to familiarize yourself with the intake processr your respective Divisionot Office. All Divisions and Offices should disseminate theirtake process and their designated intake. staff. Please check with your immediate supervisorhould youhave any questions regarding the policy.

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windler, . , 1 0 Annerom:nt:':

mportance: .

Schapiro, Mary L.Wednesday, March 10,201012:50 PMALL SEC USERS .Progress onTlps and Complaints InitiativeHigh

ar Colleagues,ery shortly you will receive information about our new policy for handling the tips,omplaints and referrals we receive at the SEC every day. It is important that you read the new'olicy carefully and adhere to it.also wan t to update you about the progress we have been making to upgrade our internal

viewing Our Existing Systemdentifyingimportant tips and complaints can give us an early jump on fraud and can help guideur complianceexams .. That.is why, when I rejoined the Commission last year, one of my firstitiatives was a strategic review of the way we handle this information.hat review of our operating processes, undertaken with the help of the MITRE Corporation,lied oJ.}broad cooperation from every comer of this agency, andIdeeply appreciateverybody's input.e.are using what we learned to improve processes across the agency.

tralizing Our Informatione recently completed the first of our reforms: centralizing the tips, complaints and referralsom across the agency into a single, searchable database. The database is called the

nsitional Repository.reation of this new database means that, for the first time, complaints we receive in Chicagoe being downloaded into the same database as complaints received in Miami or any of ourher offices. And information provided to our investor assistance hotline in OLEAnow can bearched alongside complaints received by our markets hotline in the Division of Trading and

e Transitional Repository is an interim system, however. In the second phase, we willprove our intake system with better data collection and more robustsearch capabilities" .owing us to better assess and triage the information we receive. In addition, the new system

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will allow us to track how tips and complaints are being used throughout the agency. Wexpect to deploy this system later this year.eanwhile, we are also beginning to design the final phase of this system, which will

ncorporate a risk-weighted approach to assessing tips and complaints using risk analytics to -elp us quickly and efficiently identify high-value tips and to search for trends and patternscross the data. .eveloping a Policyt the same time we are improving our systems, we have developed guidelines for howveryone at.the agency should handle the tips and complaints that we receive. The fact is thatach of you may be the recipient of a tips and complaints asaregularpart of your duties, or .ven while you are away from the office. Each of these bits ofinfonnationrepresents anpportunity for the SEC to identify and address misconduct and to obtaincrucial informationbout trends, products or practices.hat is why it is important that you have a clear understanding of what you must do when youeceive this information: We now have a policy laying out the specific actions to be taken bymployees who receive a tip or complaint.nder the guidelines, not everyone will actually inputdata into the database. Instead, the policyquires most employees to make sure they promptly get tips and complaints in the hands of a

esignated person or group. In turri,thatdesignated person or group will entertheinformationto the database and assign it out for action as appropriate. These designatedpersonswill beble to help you access and search the system if you have a need to do so, as well. The policy-so providesguidance on what information heeds to becaptured,lease read the attached policy memo closely. Precisely following the procedures it lays out is .ucial to our ability to effectively analyze and act on the.information we receive.the coming week, we will be providing training for those tasked with inputting tips and

anks so much to everyone who has worked so hard on this initiative and to each of you forur attention to this important issue. These changes will help us to ensure we are more.sponsive to the concerns of the investing public so that we can inspire the public's confidencee investor at a time. I know you will join me in this significant endeavor.you have-any questions about the policy or this initiative, please do not hesitate to contactephen Cohen in my office.

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windler, Jo Anne ' [ : . b i . R JFrom:Sent:To:

. / - - - - - 1! i.'L.... . .-'WednesdaY,:March 1.0;2010 10:13 AM ---~--\!Ii!i

!e -ct:ments:

!i\LE: Tips Complaints Referrals (TCR) Advisory Group MeetingSEC TCR advisorygroup2010-03-010.pptj!-:.J

tached is the presentation for today'smeeling." - '- " - - " . .. '. lPMP .fice ofApp:~cationand Software Development - , - 1. __:j

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rom 1 _ ' ~ent: Friday, February 26, 2010 2:52 PM - - - - - - : ' \. I1

I~ . _ " _ J; .' . .bject: Tips ComplairitsReferrals (TCR)' Advisory Group Meeting

en: Wednesday,Narch 10, 2010 1:00PM~2:30 PM (GMT-05:00) Eastern Time (US &canada).h.ere: Conference Room large SPl #7000 -26- .. .

has invited you to a Cisco MeetlngPlace e-Conferencete/TIme: MAR 10, 2010 at 1:00 PMAmerica/New_York

90Onceeeting ID: r-1eting Password: L ___)one Number(s): Internal:External:

Toll-Free:

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ATTEND THE WEB CONFERENCE AND THEN JOlN WITH AUDIO:~

. \ .ign in as aGuest or with your Cisco MeetingPlace User 1 I J ~ _and click on Attend Meeting.1


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- -- A ccep t any security w arn in gs yo u receive an d w ait fo r the M eetin g R o om to in itia lize .ST YOUR BROWSER B EFORE YO U A T T END YOUR F IR ST WEB CON FE RE NCE

sit h ttp s:llo pc -a d-m plltest/ to test yo ur w eb b ro wser fo r c om patib ility w ith th e w eb c on fe re nc e.m ore in fo rm atio n a bo ut C isc o M eetin gPla ce in clu din g M ee tin g T ip s a rid F AQ 's, p lea se vis it th e U ser H elp a ttqJs:U o pc -ad-mp l/mpweb/h tm llhe lp /OOO /po phelp .h tn il - -

mo re in fo rm atio n a bo ut O sc o M e etin gP la ce , v is i th t tp :Uwww.dsco .com

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Swindler, Jo AnneFrom:Sent:To:Subject:Attachments:

lto,Marie 0,Wednesday, March 10, 2010 10:18 A~ . : JBussey, Brian A; Swindler; Jo Anne; '__. "FW:Tips Complaints Referrals (TOR dvisory Gro p MeetingSEC TCR advisory group 2010-03-01 Q,ppt

For,~OdaY'sl!le~ting, Also, ,Ih~ve~rranged Withe. lor UAT of the interim system, and need to provide[ )ser names inn , K " , f " " : '--'and( Jwould you .alsolik~ to b e included in th~AT link? Marie 1 \ L J. _ lL., '.;l -

:~:'edneSday, ~rch 10, 2010 10:13 AMo:C . - . . . . .'

" . . . JSWindler, J~nne;(Tips Complaints Referrals (TCR) Advisory Group Meetirig

Jis the ,presentation for today's meeting._.JPMP .

iceofApplication and Softwar~Developmentr J . _ .-l Appoint!J;lenh---

rom:lL. . jFriday, February 26, 2010 2:52 PM= L _ ..' .. '..

J' .:Swindler, Jo Anne;[.J ~ ,- -

Tips Complaints Referrals (TCR) Advisory Group Meeting _Wednesday, March 10, 2010 1:00 PM-2:30 PM (GMT~05:00) Eastern Time (US & Canada) .Conference Room Large SPl #7000 -26-

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I as invited 'you to a Cisco MeetingPlace e-C onference .MAR 10, 2010 at 1:00 PMAmerica/New_York90Once

eting ID: 87971


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Meeting Password:Phone Nurnber(s):

TOATTE;ND THE WEB CONFERENCE AND THEN JOIN W ITH AUDIO:: L Go to: . . . .'.Sign in as < ; I . Guest or with your Cisco MeetingPlace User - ; J , and click on. ~ttend Meeting,- Accept any security warnings you receive and wait for the Meeting Room to initialize,

TEST YOUR BROWSER BEFORE YOU ATTEND YOUR FIRST WEB CONFERENCEisit https:llopc-ad~mplltest! to test your web browser for compatibility with the web conference",

. .or more information about Cisco MeetingPlace' including Meeting TIps and FAQ's,please visit the User Help athttps:llopc-ad-mpllmpwebthtmllhelp/OOO/pophelp,html .

r m ore in fo rm atio n a bo ut O sc oM e etin gP la ce , vis it h t tp : / /www.dseo .com

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Swindler, Jo AnneFrom:Sent:o:Subject:

Brigagliano, James A .Thursday, March 11,20108:48 AM#TM\EYER'YONE 'FW:lntal


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. . .rom : SE C A dm in istrative N otices .

Wednesday,March 10, 2010 2:25PM .I nta ke ' P o liC y o n T Ip s, C omp la in ts and Referrals

. S E .C ADMINISTRATIVE NOTICE'

All StaffUBJECT:' Intake Policy on Tip~;Complaints, and Referrals Received by SEC staffoday the SECissued a new administrative regulation 'setting out the agency' s intake policygarding theprocessingof tips, complaints, and referrals ("TCRs") received by SEC staff: Theicydelineates the responsibilities .andactions required-of each employee should they receiveTCR regatdingtheactionso.fanindividual; firm,orcompimy. .

his policy applies to all.SEC personnel, lildudingfelldws, interns, contractors.oranyone .ployed.on a full-time 'or part-time basis by the SEC~ It I S effective; immediately .. The policy

b e ' , found on The Insider at ". .' .'. .... '. . .' ..'tp:llintrariet.sec.gov/policies procedures/admjrttegulationsIr3~2.pdf .

ch staff member has the responsibility to record or transfer to a designated person/group, astailed in the regulation, any information whichthey receivethrougha TCR. Absent'tenuating circumstances, .any transfer of information for recordation must-occur within onesinessdayofreceiving a rcR, andinformationis to berecorded within three business daysItsreceipt and/or transfer. . '.'

are-urged to read the regulation in full so a s to familiarize yourself with the.intake process .'yourrespective Division or Office. All Divisions and Offices should disseminate their

ake process and their designated intake staff Please check with your immediate.supervisoruld you have any questions regarding the policy. .

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windler, Jo Annem: Ito.Marte D.

MO~da,y,.May 10.,2pJO 12:52 PM ]Swmdler, Jo Anne;LIto, Marie D. .FW: TCR Intake and Resolution Requirement Session Schedule

WOUld[J be able to attend the session on 5/1 j? I should be back in the afternoon of 5117 and can attend theession on 5/18. I can also try to call on in .5/13; but am not sure of myschedule on that day at.this point. Marie ' .JThursday, May 06, 20109:12 AM

c:'Cohen, stephen L.ubject: RE: TCR Intake and Resolution Requirement Session Scheduleorry I forgot to mention that the meetings will be scheduled for 9:00 a.m. - I will be sending meeting invitations so theyill appear in your calendar. ..

lpMp.fflce ofAfplication and Software Development-'J '.r o m [ ] . . . . , . .

06,20108:35 AM: ) . L . . _ _ . _ ._ . . ' ..--- -- .. _ -- -~.-_.----_._ ... . . . . . : 1 '

~Cohen,Stephen l. .bject: TCR Intakeand Resolution Requirement session Schedule

'. . .

low is the schedule forthe requirements gathering sessions for the TCR Intake and Resolution System. As mentionedprevious meetings, the schedule is time intensive .for the first couple of months .. Each meeting w i l l be scheduled for 3ur sessions. I will warn you that some meetings may go a little longer than scheduled if required.ave listed the topics bulthese may change based on the progress we have for each meeting. You can discuss withinh of your groups butit would really be helpful if we can have at least one' person from all the groups attend everyeting. I will setup a conference number for each of the sessions but I do encourage those who are located in the DCa to attend in person if possible. .

Requirement Topic Date ConferenceRoom

1 External Intake (Screens Roles and Workflow) 5/13/10 SP - 30002 External Intake (Screens Roles and Workflow) 5/18/10 SP - 30003 Internal Intake (Screens Roles and Workflow) 5/20/10 SP - 9000

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ession 4 Intemallntake (Screens Rolesand Workflow) 5/25/10 SP -3000ession 5 ':Mculual TriC!9.e(Search, Update, Archive) 5/27110 SP-3000ession 6 . Man!JaITriage{Search, Update, Archive) 6/1/10 SP - 3000ession 7 Resoiution (Screens.Roles and VVorkflow)' 6/3/10. SP - 3000ession 8 .Resolution {Screens Roles and Workflow} 6/8/10 $P -40.00

Systemlrlterfaces 6/10./10 Sp- 3{)00Sy~temlnterfacesIRIS(and6thers) 6/15/10 SP - 3000'

esslon.t1 Workfl6w .". 6/17/10. SP- 5000Management Reports 6/22/10 $P -40.00.

ession 13 WorkfloW (if required). 6/24/10. SP - 8280.ession. 14 Management Reports (if required) 06/29/10. .SP -30.00

. .you have any questions, please let me know.' J P M P

0 . fApplication and Software DevelopmentJ ., .... .. .

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SWindler, Jo AnneFrom:Sent:To:cc:

Ito, Marie D.t edneSday~arCh ~1,20101:49PM. _"';'Sporkln, Thomas. ", . .. _._---_. ~indler, Jo Anne[ubject:

d:E~maiissent to TCR-ENF .. - - - - - - - _ .. _ ._ .. . _,., .. -.-. _ _ ._ .. _ - _ .. _ _ .-.-_..:... .,..

:]] . . . . .... . ." '.~s~gr~nt acc~ss tothe TCR database_to(. . .' . .: . ;_ . . ~anr . Jas th~y will be .:.sslstlng In entenngthe broker-dealer capital fjotfces Into the TCR Repository now thmi:he ~b form ISworking (as of thisorning): . .

";~ . . i- -L _ .

. . . . ~he submissions above were sent to the TCR-ENF mailbox per Tom Sporkin's instructions until the web form was.orking. The web form was not operational for us as of yesterday afternoon; nevertheless the notices were returned to us.hey will be re-submittedonce access to the TCR has been granted and when I have been able toprovideinsfruction onse ofthe system. . .ank you.

rom:~ ~ent: uesday#March 0, 2010 5:34 PM_MarieD.

sJ to TCR-ENF. . .

ust spoke tdr ..~bout the emails you just sent to TCR ENF. I reached out to him as I wasn'tre how to ertrer the jnformat~ into the system. He asked me to send them back to you for input into theCRsystem by TM staffonce the form is fixed. Please note that the ones that I'm sending back ' t o you perstr-uction are the notification letters. .ease note that the form should be fixed at about 9pm t~night[ ]s going to send mean email once it is fixedd I will than let you know. . .ank you,' _]S. Securities and Exchange Commissionvision of Enforcement0 F Street N.E.shington, DC 20549

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.G'bS+b~ ..Swindler, Jo Annerom:ent: Sporkin, ThomasMonday, May 10, 2010 4:37 PM

. . f l P , U . .,Mari.,e,D. ; .S ,w,ndler, Jo Anne~E: TCR q'uestiorls . J

really sorry that I missed this meeting today, is there any way we can make it up tomorrow morning?

om: Ito, Marie D.FridaY,May 07, 2010 9:53 AM0 : Swindler, ]~nne; Sporkin, Thomasc.f . J .Re: TCRquestions

51pm okay for all?

Swindler,]o Annerkin,ThOlVas,; I t O , . Marie D ..jFri May 07 09:47:25 2010TCRquestionsavailable 1-2 or after 3

Sporkin, Thomasnt: Friday, May 07,2010 9:45 AMJ~ne; Ito, Nari.e D.

Re: TCR questions

onday afternoon works for ment from my BlackBerrY Wireless Handheld

SWindler, Jo Anne0, Marie DJ'porkin, Thomas:,'. .Fri May 07 09:43: 15 2010RE: TCR questions

ave a call from 10:30 to 11:30, but could meet at 11:30: I see that[ -"lis out of the office today. Tom and Marie - shall,meet today at 11:30 or wait until Monday? . . . J '

Ito, Marie D.Thursday, May 06,'2010 11:19 AM

Sporkin, Thomas

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c: Swindler, JoAnne;C - - - - - - JSubject: R E : : . TCR questionsThat timeframeis fine with me tomorrow as well, if Jo Anne is available. We'll be brief -

From: Sporkin, Thomasent: Thursday, May 06,2010 11:18AMo: Ito, Marie D. --,C : SWindler, Jo Anne: - JRE: TtR ques Ionsdwe ever choose a time forthis?-I'm open from 10:30 to noon. Let me know if that works.

Ito,Marie [).~nt:Tuesday, May 04,20105:46 PMo: Sporkin, Thomas_ - - -Jc:Swindler, Jo Anne( ::RE:-TCR questions

- -ould you both have time for a quick meeting? Jo Anne and I have a few questions we'd like to discuss. Thanks. Marie

rom:Sporkin, ThomasTuesday, May 04, 2010 5:36 PMIto, MarieD. --- ( JqSwindler, Jo Annej]RE:TCR questions. ~ .

aYb{ }an opine here: ..

Ito, MarieD .Tuesday, May 04, 2010 2:25 PMSporkin, Thomas:Swindrer, JoAnneTCR questions _

m,- -

anks so much.

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Swindler, Jo AnneFrom:Sent:bJ~c~:

Schapiro, Mary L .Monday, August02, 20109:12 AMALL SEC USERS 'Whistleblowers

h~ "Wall Street Reform and Consumer Protection Act" (the "Act") expands the SEC's powers to pay whistleblowers foraluable tips and expands protections to whistleblowers. 's a result, no longer does our whistleblower program cover only tips about insider trading. Instead, it covers tips aboutny violation ofthe federal securities.laws; 'This means our agency could see an increase in the number of tips,omplaints and referrals CTCRs") that we receive. 's you know, anyone of us could be the recipient of the TCR, and the information could come to us in any office, throughmail, regular mail or by phone. To ensure we properlY track the tips provided, every employee should know the properanner in which to handle the information. 'nder the Act, the SEC must PaY an award to:

" eligible whistle blowers .who. voluntarily provide the Commission with original information'. 'about a violation ofthe federal securities laws that leads to the successful enforcement of a covered judicial or administrative action" ora related action,, asdefil' led by the A c t ' ' ,

utbeforeariyon~ can receive, an 3ward,the SEC must issue final regulations - both to establish procedures forhistleblowers and' to allow the Commission to interpret certain key components of the provision.' Those regWations,rrently being drafted, must be issued within the next 270 days. It is important to note, however, that althoughw i l l have tocornptywiththe.regulafions when passed,in the meantime theycan still submitTCRinformation toe Commission thatcouldultirnatetyleadto a successful award.ending the adoption of final fulesimplementing the Act, all employees should adopt the following procedures forspondinq .to questions about the new Act and for handling TCRs from individuals identifying themselves as 'histleolowers: ' ,

., Inquiries concerning, the Act: 'Individuals who previously filed a whistleblower complaint may ask aboutthe law's impact on their ability to receive an award. The new raw is not retroactive. Any inquiry aboutthe new law should be directed to the SEC website, which has been updated with curtentlnformation.This approach will ensure a consistent response by the SEC and will reduce the risk of misinformation.Staff should refrain from attempting to interpret or explain the law to whistleblowers. ' Submission of information: Similarly, individuals claiming to be whistleblowers who contact the SEC withinformation about a possible violation of the federal securities laws should be encouraged to submit the,information in writing, preferably using the SEC's TCR web form. A link to the form can be found on the

SEC website in the Investor Information section. Care should be takento explain that electronicsubmission of the information will (a) comply with the statutory requirement that the information besubmitted in writing, and (b) facilitate a precise record of the timing of receipt of the information by theSEC. Information may also be mailed to the SEC in hard copy. To the extent possible, staff shouldencourage individuals who wish to submit their information in writing to transmit the information using atrackable mode of delivery. Whistleblower information received by the horne and regional Divisions andOffices should be processed in accordance with paragraph 6 of SEC Administrative Regulation SECR 3-2 . , Tips, Complaints and Referrals Intake Policy, March 10, 2010.

.

, ,

ditional guidance concerning the handling of whistleblower TCRs is available on the Insider page atp://insider/divisions offices/hgo/ENF/interim-procedures-tcrs.pdf. If you have additional questions, Tom Sporkin and1


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arit Klein in the Office of Market Intelligence are leading our current efforts to put together the new whistleblower officecalled for in the Act.I. look forward to seeing how this new program aids our efforts to protect investors.

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'.:,. '.;Fto m::To:ubject:

Importance:

.S c h ap ir o ; Ma ry L . . 'Wednesday , 'Ma rc h 10,2010 12:50 PMALL S EC USER S .P ro g re ss o n T ip s a nd C omp la in ts In itia tiv eHigh

r Colleagues,shortly you willreceiveinformationabout our new policy forhandling the tips,:complaititsand referrals.we receive at the SEC everyday, It is important that youread the new

polic;ycarefully and adhere to it.. . .I also want to update you.about the progress we have beenmaking to upgrade our internal

stems .viewing Our Existing System.

dentifying important tips and complaints can give us an-early jump on fraud andean help guideur complianceexams. That is why, when I rejoined-the Commission last year, one ofmy firstnitiatives was a strategic review of the way we handle this information ..hat review of our operating processes, undertaken with the help of the MITRE Corporation, .o n broad cooperation from every comer of thIS agency, and I deeply appreciateerybody's input.e are using what we learned to improve processes across the agency.

ralizing Our Informationrecently completed the first of our reforms: centralizing the'tips, complaints and referrals

rom across the agency into a single, searchable database. The database is called the .nsitional Repository.'

reation of this new database means that, for the first time, complaints we receive in Chicagore being downloaded into the same database as complaints received in Miami or any of ourher offices. And information provided to our investor assistance hotline .inOlEA now can berched alongside complaints received by our marketshotlinein the Divisionof Trading andarkets. .

he Transitional Repository is an interim system, however: In the second phase, we willprove. our intake system with better data collection and more robust search capabilities,

lowing us to better assess and triage the information we receive, In addition, the new system1


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will allow u s to track how tips and complaints are being used throughout the agency. We .expect to deploy this .systemlater this year. . .Manwhile,we are also beginning to design thefirial phase of this system, which will" '.ncorporate a risk-weighted approach to assessing tips and complaints using risk.analytics toelp us quickly and efficiently identify high-value tips and to search for trendsand patternsacross the data. ,." . . .

veloping a Policythe same time we are improving our systems, we have developed guidelines for how

veryone at the: agency should handle the tips and complaintsthat we receive .. The fact is thatachof youmaybethe recipient of a tips and complaints as a regular part of your duties, orven whileyou are away from the office. Each of these bits of information represents anpportunity for the SEC to identify and address misconduct and to obtain crucialinformationbout trends, products or practices. . .hatis why itisimportant that you have a clear understanding of what you must do when youeceive this information. We now haveapolicy laying out the specific actions tobe taken bymployees who .receive a tip or complaint. .'.nder the guidelines, not everyone will actually 'input data into the database.' Instead, the policy

equires most employees to make Sure theypromptlyget tips and complaints in thehandsofa .esignated person or group. In tum, thatdesignated person or group will enter' the information' .to-the database and assign it out for actionasappropriate. These designated persons will be .

ble to help you access and search the system if you have a need to do so, as well. The policylso provides guidance on what information.needs to be captured. .

'. . . .. '.lease read the attached policy memo closely. Precisely following the procedures it lays out isucial to our ability to effectively analyze and acton the information-we receiv~. .the coming week, we will be providing training for those tasked with inputting tips and .

hanks so much to everyone who has worked so hard on this initiative and to each of you forur attention-to this important issue. These changes will help us to ensure we are more .sponsive to the concerns of the investing public so that we can inspire the public's confidencee investor at a time. I know you will join me in this significant endeavor.

. .you have any questions about the policy or this initiative, please do not hesitate to contactephenCohen in my office.

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~ .~~~__ _ [ _ ~ b _ , ? _ j b _ w _ + b _ . ~ _ ~_ ~ ~ _ _Sent:To:Subject:

Brigagliano,James AThursday, March 11, 2010 8:48 AM#TM\EVERYONE .FW : Intake. Policy on TIps; Complaints and Referrals

To aU fellow TM staff: ---;I\ .\ III.I.!IIt, 1: ,\II'1,

1I1f .,!

hank you for your continued attention to this matter. . j . j. .

mes Brigaglianoputy Directorvision of Trading and Marketscurities and Exchange Commission0 F Street N.E. .shingtori, D.C. 205492-551-5700 .

(fax)

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From: S EC Adm i n is tr a ti ve N o ti c esSen t: W edn es da y, M a rth 10, 2010 2:25 PMSubject: I n t ake Pol icy o nllps , C om pla in ts a nd R eferr alsSEC ADMINISTRATIVE N.OTICE

TO: All Staff. . .' . .' .

SUBJECT:. Intake Policy on Tips, Complaints, and Referrals Received by SE C staffTodaytheSEC issued anew administrative regulation setting out the agency's inta.kepolicyegarding the processing of tips, complaints, and referrals ("TCRs") received bySECstaf .Thepolicy delineates the responsibilities and actions required of each employee should they receiveTCR regarding the actions of a l l . individual, firm.oreompany, .. .his policy. applies to all SEC personnel.including fellows, interns, contractors, 0 1 ' anyonemployed on afull-timeor part-time basis by the SEC7 It is effective immediately; The policyan be found on The. Insider at procedures/admiri. regulatiQns/r3-2.pdf.

ach staff member has the responsibility to record or transfer to a designated person/group, astailed in the regulation, any information which they receive through a TCR~.Absent

xtenuating circumstances.any transfer of.information for recordation must occur within oneusiness day of receiving a TCR, and information is to he recorded within three business daysf its receipt and/or transfer. .ou are urged to read the regulation in full so as to familiarize yourself with the intake processr your respective Division or Office. All Divisions and Offices should disseminate theirtake process and their designated intake staff Please check with your immediate supervisorould you have any questions regarding the policy.

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http://intranet.sec.gov/policieshttp://intranet.sec.gov/policies


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- - - - - - , . .From:Sent: .T o : -Subject:

~~"daY. J O b ) 1. 2010 11:1Q AM ..#TM\EVERYONE .-RE: TCR - HOW TO TAKE SCREENSHOTSFROMTHE WEB

. . .. .Here are some basic instructions on how to takeScreen Shots from the Web: .. 1. when you are in.the web browser page you want to capture, Press the "Prtficn' (print Screen) key on

your keyboard . . .. '. .2 . . If you want to send the screenshot immediately you can open a new outlook message.click on the Body

.text area of the message, and paste thescreenshot using your keyboard shortcut "CtrHV" orusing the. tool bar select "Edit" and "Paste" . .' .' . -. . - .Note: if you wanttotake several screen shots to send later you can repeat this within aMS Word document .

. 3. - If the page you want capture is longer than thescreen and if you want to take a screenshot of the entirepage, then you c a n u s e the browser print button-and selectto print to a "Adobe PDF" file, save it toyour desktop and send this as an attachment.

. . . " . ..' . r-.f you have further questions Of needmore help please email TM-:-IT-Support mailbox and eitheLsist you with this; . . -..... .'. . han.. J

Jenior ITSpecialistS. Securities arid Exchange CommissionvisionofTr~dingand Markets

i -.....],I~ ~

rom: Brigagliano, James A ,Thursday, March 11,20108':48 AM: #TM\EVERYONEubject: FW: Intake Policy on Tips, Complaints and Referrals

o all fellow TMstaff;-

)1


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hank yo u . f or yo u r continuedattentionto thismatter,Jamie'

es Brigaglianouty Db'eclorDivisionof Trading and M.arkets .c", ..ties 'and Exth;mge Commission.0F.StreefN.E. .ington,:D.C.20549';551~7()O .77i~927~(fax)

m:SEC'Administrative Notic;esWednesday, March 10,20102:25 PMubj~qntake,poIiCY on Tips, Complaints and ReferralsSEC ADMINISTRATIVE NOTICE

O: AIlStaff. -UBJECT: Intake Policy on Tips, Complaints, and Referrals Received by SEC staffoday the SEC issued a new administrative regulation setting out the agency's intakelicy regarding the processing of tips, complaints, and referrals ("TCRs") received by

EC staff. The policy delineates the responsibilities and actions required of eachployee should they receive a TCR regarding the actions of an individual, firm, or

2

.J


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policy applies to a l lSEC personnel, indudillg fellows, interns, -contractori,or anyoneon a fuIi~tinieorpart-time basis by the SEC~ It is effective immediately, Ther canbefoundollTltelnsider at .. _ J

-I- i - -- \

- ,,

ch staffm~m.ber-Iiasfhe responsibility to record ortransfer to-a designated -erson/group,as:deta~Iedinthe regldation;allyinformation which they receive through a -Clt -Absent extenuating -circumstances, any transfer of information {or recordation

occurwifhin onebusiness.day of receiving a TCR;and information is tobe recordedithinthreebllsirtess daysof its receipt and/ortransfer. -uarc-:urged:fo reap theregulatl


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Administrative Notices. .el1t:Wedne sq ay , March ~O i20 10 ? :Z5"PM ., .. , . .Intake' Policyo n T ip s, C omp la in ts a nd Re fe rra ls

. .[.~b5+~.7 1 ! J~ . . :." ',' .': .". ':

" .:' AllStaff'. .. . . . . .' '.IntakeP'olicyonTips;Co~pl~lnts,an'dReferrals Received b y SECstaff

-. '\ . '",.' . . . . : ~ '. .' ':. .~;.'~: .:. ...: ., ", ', '.M . . ... ," . "

:admi~i~trativ~,,egul~ti~ri'S~tti~Koui_theagency's intake policy .. .t h e proeessingof'tips, corhplc i in t s j ,an

Documents

Responsive Document - CREW: SEC: Regarding Reforms in Wake of Madoff Scandal: 12/6/2011 - 11 08196 FOIA Enclosures