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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 |
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| Creator(s): | Securities and Exchange Commission. Office of Registration and Reports. Branch of Ownership Reports. (ca. 1962 - ca. 2001) |
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| Type(s) of Archival Materials: | Data Files Textual Records |
| Contact(s): |
Electronic and Special Media Records Services Division (NWME), 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) |
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| 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 ARC Search 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 |
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| Finding Aid Source: | NARA AND THE SECURITIES AND EXCHANGE COMMISSION |
| Online Resource: | Access to Archival Databases (AAD) system |
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| 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: |
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| Lifecycle Tracking Information | |
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| 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 |
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