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Click Here: <A
HREF="http://www.zdnet.com/zdnn/stories/news/0,4586,2486808,00.html?chkpt=zdhp
news01">ZDNet: News: SEC Web snooping plan draws fire</A>
-----

SEC Web snooping plan draws fire
Is it a good idea to spend millions of U.S. dollars to scour the Net for
securities-law violators? Privacy advocates scream foul.


By Michael Moss, WSJ Interactive Edition
March 28, 2000 4:11 PM PT

The Securities and Exchange Commission is moving to create an automated
surveillance system that would scour the Internet for people who violate
securities law. The agency has begun receiving proposals from vendors, who
have conducted trial runs in recent weeks.
But even before it gets under way, the multimillion-dollar project is running
into trouble on privacy grounds.





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SEC: Online brokers need more disclosure




The mechanism would monitor public Web sites, message boards and chat groups.
Anything deemed suspicious -- like the phrase "get rich quick" -- would be
copied into a database, analyzed and then indexed for use by SEC
investigators in bringing civil proceedings against people suspected of
wrongdoing, according to the agency's project-contractor solicitation.
The SEC also wants to grab e-mail addresses and other identifying information
that would help unmask message writers and Web-site owners who try to remain
anonymous.
Other federal agencies might develop their own automated surveillance, the
contracting records indicate. "For us it's a very exciting prospect," said
Phyllis J. Cela, acting director of enforcement at the Commodity Futures
Trading Commission, which has begun talking to vendors.

PricewaterhouseCoopers said no

But after reviewing the documents and holding discussions with SEC officials,
one invited bidder, PricewaterhouseCoopers LLP, advised the agency that it
would not participate because the endeavor might impinge on constitutional
protections against unlawful search and seizure. Its chief concern: Innocent
people would end up in the database. "We had serious concerns about the
implications for the privacy of individuals on the Web, and the implications
for businesses on the Web," said Beth Trent, a director who leads the firm's
Internet compliance unit.

"There are all sorts of legitimate reasons people want to remain anonymous,"
adds former U.S. Department of Justice computer-crime specialist Scott
Charney, now a partner at PricewaterhouseCoopers.

The SEC may also find itself pitted against giant Internet operators who
consider even their public chat boards to be proprietary. America Online Inc.
(NYSE: AOL), whose boards are cited in the SEC document as a surveillance
target, said it routinely forbids anyone from harvesting information from its
many thousands of chat rooms and message boards in order to protect the
privacy of its customers.

Privacy and anonymity

Moreover, the SEC's foray comes at a time when the Federal Trade Commission
and many states are scrambling to protect the privacy of Internet users. The
threat of regulation and mounting public concern about online tracking by
marketers are prompting many Web-site owners to take measures aimed at
preventing their customers from being snooped on.
SEC officials say they intend to address Web companies' concerns. "The
Securities and Exchange Commission has a history of abiding with the letter
and spirit of privacy laws and policies, and we will continue to maintain
that position during this procurement," said George C. Brown, an assistant
general counsel.

The SEC also said it won't gather e-mail or other communications that don't
appear in public forums, or make a record of people who simply visit a Web
site or board but don't post any messages. And any information collected that
doesn't indicate possible wrongdoing will be discarded. The agency also said
the contractor will be bound by a strict nondisclosure agreement.

The database project grew out of the SEC's frustration with trying to battle
bad guys in cyberspace. The Internet is expanding quickly, and scanning it
manually with traditional search engines is tedious at best.

Then there's the problem of anonymity. As most cyberchatters decline to
identify themselves, the SEC must often subpoena records from chat-board
owners before it can get an investigation rolling. Some boards don't make
that easy, said John Reed Stark, the SEC's chief Internet enforcement
officer. "We're subpoenaing under incredible time constraints in these
investigations," Stark said. "In some instances you're dealing with companies
that are just starting out, and in other instances they are growing at
phenomenal rates that are making other demands on their time."

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AOL goes a step further. Because the SEC brings civil complaints and not
criminal charges, AOL treats the agency the same way it treats the many
companies that bring defamation suits against chatters and subpoena records
from AOL to identify the service's customers. It alerts its customers and
gives them 14 days to block the subpoenas.
Stark said he doesn't quarrel with AOL's policy but notes that the SEC
strives to find other ways to identify message writers. "Sometimes we can
figure out who people are through old-fashioned detective work," he said,
declining to elaborate.
Next page / Part 2: Congress' SEC support
See also: Law and Politics section



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