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Records on Trading of Securities by Corporate Insiders, compiled 07/11/1978 - 03/12/2001 ARC Identifier 572696 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): | Ownership Reporting System (ORS) |
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| Inclusive Dates: | 07/11/1978 - 03/12/2001 |
| Date Note: | The monthly files correspond to the month in which the report of the transaction was received by the Securities and Exchange Commission and not necessarily the month in which the transaction occurred. A monthly data file contains all transactions reported to and received by the Securities and Exchange Commission between the 11th of one month and the 10th of the next month. There are 4 files that cover multiple months: July 11, 1986 to August 10, 1991; January 11, 1994 to October 10, 1997; October 11, 1997 to January 10, 1998; and January 11, 1998 - March 12, 2001. There is overlap in coverage of the monthly files for the latter half of 1986 and the file for July 11, 1986 to April 10, 1991. |
| Part Of: | Record Group 266: Records of the Securities and Exchange Commission, 1933 - 2001 |
| Includes: | 138 file units described in ARC Search within this Series |
| Function and Use: | The agency created this system, which it called the Ownership Reporting System (ORS), to automate and expedite the publication of the "Official Summary of Security Transactions and Holdings." The system processed transaction data of insider holdings reported on Form 3 and Form 4 pursuant to section 16(a) of the Securities Exchange Act of 1934; section 30(f) of the Investment Company Act of 1940; and section 17(a) of the Public Utility Holding Company Act of 1935. SEC Form 5 data were added in April 1991. The system verified share balances detected liabilities for short-swing profits. Short-swing profits were profits earned within six months of a trade, including profits made from the sale of securities followed by their repurchase within six months. Traders with "insider relationships" were prohibited from short-swing profits. Additionally, the agency analyzed raw data to assist in the enforcement of anti-fraud provisions and used the Committee on Uniform Security Identification Procedures (CUSIP) data file to retrieve issuer and issue data. |
| Access Restriction(s): | Restricted - Partly FOIA (b)(6) Personal Information This series contains one partially restricted file. A public use version of this restricted file has been created for researchers. |
| Use Restriction(s): | Unrestricted |
| Online Resource: | Access to Archival Databases (AAD) system |
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| Online Resource URL: | http://aad.archives.gov/aad/series-description.jsp?s=625&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): | NN3-266-94-001, item 1 |
| Accession Number(s): | NN3-266-03-001 NN3-266-97-001 NN3-266-98-002 NN3-266-98-003 |
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