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Archival Description

1 result retrieved for 596295
Description 1 of 1

Broker Dealer Directory System (BDD) Files, compiled ca. 1979 - 06/30/1992

ARC Identifier 596295

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. Division of Enforcement. (08/1972 - ca. 2000)
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.

 
Inclusive Dates:ca. 1979 - 06/30/1992
Part Of:Record Group 266: Records of the Securities and Exchange Commission, 1933 - 2001
Includes: 1 file unit described in ARCSearch within this Series
Function and Use:The agency created and used the BDD to automate and expedite the publication of the "Broker Dealer Directory."
Access Restriction(s):Unrestricted
Use Restriction(s):Unrestricted
General Note(s):The broker and dealer firms are required to file information on the Securities and Exchange Commission (SEC) Form BD and this information is supplemented, when necessary, with information from SEC Forms BDW, SECO-5, and X-17A-19.
 
Finding Aid Type:Doc. Package
Finding Aid Source:NARA AND THE SECURITIES AND EXCHANGE COMMISSION
 
Index Terms:
 
Lifecycle Tracking Information 
Disposition Authority Number(s):N1-266-94-001, item 1
Accession Number(s):NN3-266-04-001

 

 
 

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