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Electronic Records of the Securities and Exchange Commission


Introduction

refer to caption

President Ronald Reagan Visits The New York Stock Exchange

This reference report provides an overview on some of the electronic records of the Securities and Exchange Commission (SEC) in NARA's custody. Full descriptions of all of  the SEC electronic records series are  in the National Archives Catalog. Users can search the Catalog by title, National Archives Identifier, type of archival material, or keyword.

Some of the series and files listed in this report are accessible online:

All of the files are also available for a cost-recovery fee. For more information see: Ordering Information for Electronic Records.


Record Group 266: Records of the Securities and Exchange Commission

  • Broker Dealer Directory System (BDD) Files
    National Archives Identifier: 596295
    Online Access: Download

    This series contains records of the broker-dealer firms required to register with the Securities and Exchange Commission under the Securities Exchange Act of 1934. The records include information from SEC Forms BD, BDW, SECO-5, and X-17A-19. SEC maintained these electronic records from ca. 1979 through June 30, 1992, although the records data as early as c. 1935.

 

  • Corporation Index System (CIN) Files
    National Archives Identifier: 634590
    Online Access: Download

    This series contains records of corporations and companies required to file annual reports with the Securities and Exchange Commission. The start file date (oldest effective disposition date) listed in the records range from ca. 1966 through ca. 1994.
     
  • General Records [of the Equity Market Structure Advisory Committee] 
    National Archives Identifier: 121182993
    Online Access: Download

    This series contains records of the appointments, charter, and meetings of the Equity Market Structure Advisory Committee, including meeting materials, minutes and recommendations.                               
     
  • General Records [of the Small and Emerging Company Advisory Committee]
    National Archives Identifier: 121183003
    Online Access: Download
     
    This series contains records of the appointments, charter, presentations and meetings of the Advisory Committee on Small and Emerging Companies, including meeting agendas, minutes and recommendations. 

     
  • Institutional Investor Study (IIS) Files
    National Archives Identifier: 619529

    Files: 76 data files
    Technical Documentation: varies per data file (1,294 pages total); supplemental documentation including reports and recommendations from the study

    This series contains data from a study and investigation of the purchase, sale, and holding of securities by 1,000 institutional investors of all types: banks, insurance companies, mutual funds, employee pension and welfare funds, foundations and college endowments. The study took place from July 29, 1968 through 1970, but some of the data dates from 1964.

 

  • Investment Advisers Directory System (IA) Files
    National Archives Identifier: 596316
    Online Access: Download

    This series contains records of investment advisers required to register with the Securities and Exchange Commission under the Investment Advisers Act of 1940. The SEC gathered the information in the records from SEC Form ADV. The records date from ca. 1957 through the most recent transfer of data in March 1994.

 

  • Investment Trust Company Files (IVT)
    National Archives Identifier: 614738
    Online Access: Download

    This series contains records describing those investment companies and investment company complexes required to register with the Securities and Exchange Commission in compliance with the Investment Company Act of 1940. The SEC maintained these electronic records from 1970 through May 1985. The SEC's EDGAR System contains some data previously maintained in the IVT. For information about the EDGAR System, see Related Information below.

 

  • Records on Trading of Securities by Corporate Insiders (ORS)
    National Archives Identifier: 572696
    Online Access: Download    Search

    Also referred to as the Ownership Reporting System (ORS), this series contains records of "insider trading" and security transactions and holdings in securities by people with beneficial ownership of securities, primarily officers, directors and principal stockholders of a corporation. ORS data come from SEC Form 3, SEC Form 4, and SEC Form 5. More recent ORS data may be available through SEC's EDGAR System (see Related Information below). NARA has custody of ORS data for the following time periods:
     
    • July 11, 1978 - December 10, 1986; 101 data files (separate monthly data files)
    • July 11, 1986 - April 10, 1991; 1 data file
    • April 11, 1991 - January 10, 1994; 33 data files (separate monthly data files)
    • January 11, 1994 - October 10, 1997; 1 data file
    • October 11, 1997 - January 10, 1998; 1 data file
    • January 11, 1998 - March 12, 2001; 1 data file

 

  • Records About the Proposed Sale of Unregistered Securities by Individuals (PSS)
    National Archives Identifier: 567822
    Online Access: Download    Search

    Also referred to as the Proposed Sale of Securities System (PSS), this series contains records of proposed sales of unregistered securities. PSS data are drawn from SEC Forms 144. More recent PSS data may be available through SEC's EDGAR System (see Related Information below). NARA has custody of PSS data for the following time periods:
     
    • January 4, 1972 - December 30, 1993 (History File); (few records for 1983 and 1985; no records for 1986 or 1987)
    • 1972-1984; (overlaps with the History File; excludes most of 1983 data)
    • January 3, 1994 - January 31, 1994
    • May 11, 1994 - September 30, 1999
    • January 3, 1999 - September 29, 2000

 

  • Registered Offering Statistics (ROS) File
    National Archives Identifier: 597825
    Online Access: Download

    This series contains records of domestic business and foreign government securities registrations under the Securities Act of 1933 and Regulation A. The records date from January 1970 through the most recent transfer of data in December 1988. The SEC no longer maintains the ROS as a separate system of files.
     
  • Electronic Data Gathering, Analysis and Retrieval System (EDGAR) Files, 1992 - 1996
    National Archives Identifier: 12082151
    Files: 381,755 electronic files and 377,690 electronic documentation files.

    The records in this series represent the filings of all the forms that the agency required corporations and individuals to submit in order to keep track of their dealings in the stock and securities markets.
     
  • Annual Reports
    National Archives Identifier: 44272969
    Online Access: Download

    This series contains annual reports from the Office of Minority and Women Inclusion at the Securities and Exchange Commission (SEC) detailing the diversity in management, employment, and business activities.
     
  • Semi-Annual Reports
    National Archives Identifier: 81450985
    Online Access: Download

    This series contains semi annual reports from the Office Inspector General at the Securities and Exchange Commission (SEC) detailing the audits, evaluations and other reviews of SEC programs and operations. 
     
  • Strategic Plan Files
    National Archives Identifier: 84785439
    Online Access: Download

    This series contains the Fiscal Year 2014 to 2018 Strategic Plan.
     
  • News Digests
    National Archives Identifier: 23811816
    Online Access: Download

    This series includes news digests that the Securities and Exchange Commission (SEC) issued from 2003 to 2012. 
     
  • Press Releases
    National Archives Identifier: 6883356
    Online Access: Download

    This series includes over 3,000 press releases that the Securities and Exchange Commission (SEC) issued from 1997 to 2012. The stories featured in these publications ranged from general notifications about items like system outages, through announcements of agency staff activities, to actions taken regarding laws and regulations.
     
  • Administrative Regulations
    National Archives Identifier: 300885237
    Online Access: Download
    This series consists of administrative regulations issued by the agency

 

Related Information
SEC makes some recent data available online via its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system at: http://www.sec.gov/edgar.shtml.

The SEC's dissemination contractor, Thomson Reuters, offers reference services for more recent releases of data. The telephone number is 1-800-638-8241. This information is meant to assist researchers and implies no endorsement of their services by NARA.
 

Contact Us
Reference Services
Electronic Records
National Archives at College Park
8601 Adelphi Road
College Park, MD 20740-6001
(301) 837-0470
E-mail:   cer@nara.gov

September 2023


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