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Archival Description

1 result retrieved for 567822
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Records About the Proposed Sale of Unregistered Securities by Individuals, compiled 01/04/1972 - 09/29/2000

ARC Identifier 567822

Series from Record Group 266: Records of the Securities and Exchange Commission, 1933 - 2001

Details | Scope & Content | Archived Copies | Hierarchy |
Creator(s):Securities and Exchange Commission. Office of Registration and Reports. Branch of Ownership Reports. (ca. 1962 - ca. 2001)
Type(s) of Archival Materials:Data Files
Textual Records
Contact(s):

National Archives at College Park - Electronic Records (RD-DC-E), National Archives at College Park, 8601 Adelphi Road, College Park, MD, 20740-6001. PHONE: 301-837-0470; FAX: 301-837-3681; EMAIL: cer@nara.gov.

 
Other Title(s):Form 144 Data
Proposed Sale of Securities (PSS)
Inclusive Dates:01/04/1972 - 09/29/2000
Date Note:The series has few records for the year 1983, no records for the years 1986 and 1987, and additional years may be incomplete. The dates of the records are the dates that the agency received the Form 144.
Part Of:Record Group 266: Records of the Securities and Exchange Commission, 1933 - 2001
Includes: 5 file units described in ARCSearch within this Series
Function and Use:The agency created these files to contain data filed on Form 144, a notification to the agency of the owner's intent to resell unregistered securities. Form 144 stemmed from Rule 144 of the Securities and Exchange Act of 1933, and the Rule provided a mechanism for public resale of restricted and control securities as well as block sales of unregistered securities. The information on Form 144 assisted the agency in its regulatory and enforcement functions and in preventing and uncovering insider trading in securities by both corporations and stockholders. The agency also used the data to cross-reference and match it with data in other systems.
Access Restriction(s):Restricted - Partly
FOIA (b)(6) Personal Information
The series contains two restricted files, but public use versions are available for researchers.
Use Restriction(s):Unrestricted
General Note(s):The staff of the Securities and Exchange Commission frequently refer to the records by the acronym for the system (PSS) or by the term Form 144 data.
 
Finding Aid Type:Doc. Package
Finding Aid Source:NARA AND THE SECURITIES AND EXCHANGE COMMISSION
 
Online Resource:Access to Archival Databases (AAD) system
Online Resource URL:http://aad.archives.gov/aad/series-description.jsp?s=633&cat=all&bc=sl
Online Resource Note:The electronic records in this series can be searched online via the Access to Archival Databases (AAD) system.
 
Index Terms:
 
Lifecycle Tracking Information 
Disposition Authority Number(s):N1-266-94-001, item 6c
Accession Number(s):NN3-266-03-002
NN3-266-03-003
NN3-266-04-001
NN3-266-98-001

 

 
 

The U.S. National Archives and Records Administration
8601 Adelphi Road, College Park, MD 20740-6001
Telephone: 1-86-NARA-NARA or 1-866-272-6272