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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 |
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| Creator(s): | Securities and Exchange Commission. Division of Enforcement. (08/1972 - ca. 2000) |
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| 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 |
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| Part Of: | Record Group 266: Records of the Securities and Exchange Commission, 1933 - 2001 |
| Includes: | 1 file unit described in ARC Search 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 |
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| Finding Aid Source: | NARA AND THE SECURITIES AND EXCHANGE COMMISSION |
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| Lifecycle Tracking Information | |
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| Disposition Authority Number(s): | N1-266-94-001, item 1 |
| Accession Number(s): | NN3-266-04-001 |
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