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Investment Advisers Directory System (IA) Files, compiled ca. 1979 - 03/28/1994, documenting the period ca. 1957 - 1994 ARC Identifier 596316 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): |
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. |
| Inclusive Dates: | ca. 1979 - 03/28/1994 |
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| Coverage Dates: | ca. 1957 - 1994 |
| Date Note: | Although the agency automated this directory in about 1979, it includes information dating back to about 1957. |
| 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 IA to automate and expedite the publication of the "Investment Adviser Directory." |
| Access Restriction(s): | Unrestricted |
| Use Restriction(s): | Unrestricted |
| General Note(s): | The data in this series comes from information on the Securities and Exchange Commission (SEC) Form ADV that is supplemented, when necessary, with information garnered from SEC Forms, SECO-5, ADV-W, and X-17A-19. |
| Finding Aid Type: | Doc. Package |
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| Finding Aid Source: | NARA AND THE SECURITIES AND EXCHANGE COMMISSION |
| Index Terms: |
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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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