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Electronic Records of the Securities and Exchange Commission (SEC)

Electronic Records Reference Report

Introduction

Record Group 266: Records of the Securities and Exchange Commission

  • Broker Dealer Directory System (BDD) Files
  • Corporation Index System (CIN) Files
  • Institutional Investor Study (IIS) Files
  • Investment Advisers Directory System (IA) Files
  • Investment Trust Company Files (IVT)
  • Records on Trading of Securities by Corporate Insiders (ORS) AAD
  • Records About the Proposed Sale of Unregistered Securities by Individuals (PSS) AAD
  • Registered Offering Statistics (ROS) File

Related Information

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Introduction

This reference report provides an overview of the electronic data records of the Securities and Exchange Commission (SEC) in NARA's custody. Full descriptions of the series and data files listed in this report are in NARA's catalog available via the Online Public Access (OPA) resource. OPA can be searched by title, National Archives Identifier, type of archival material, or keyword.

Series and file units accessible online through the Access to Archival Databases (AAD) resource (www.archives.gov/aad) have an AAD logo AAD next to them. Some of the files listed in the report are also available online for downloading as computerized data files from the Online Public Access (OPA) resource. For information on how to access the files for download, see Frequently Asked Question (FAQs) about Accessing Electronic Records Online via the Online Public Access (OPA) resource. All of the files are also available on removable media 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
    Data Files: 1

    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
    Data Files: 1

    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.
  • Institutional Investor Study (IIS) Files
    National Archives Identifier: 619529
    Data Files: 76
    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
    Data Files: 1

    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
    Data Files: 1

    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) AAD
    National Archives Identifier: 572696
    Data Files: 138
    Technical Documentation: 68 pages

    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) AAD
    National Archives Identifier: 567822
    Data Files: 4
    Technical Documentation: varies per file

    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), 22 pages of technical documentation
    • 1972-1984; (overlaps with the History File; excludes most of 1983 data)
    • January 3, 1994 - January 31, 1994; 9 pages of technical documentation
    • May 11, 1994 - September 30, 1999; 14 pages of technical documentation
    • January 3, 1999 - September 29, 2000; 15 pages of technical documentation
  • Registered Offering Statistics (ROS) File
    National Archives Identifier: 597825
    Data Files: 1
    Technical Documentation: 67 pages

    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.

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

July 2013


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