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Archival Description

1 result retrieved for 596316
Description 1 of 1

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

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 - 03/28/1994
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 ARCSearch 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
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