Guide to Federal Records

Records of the Securities and Exchange Commission [SEC]


(Record Group 266)
1933-88

Overview of Records Locations

Table of Contents

  • 266.1 Administrative History
  • 266.2 Records of the Corporation Finance Division 1933-88
  • 266.3 Records of the Trading And Exchange Division 1934-77
  • 266.4 Records of the Corporate Regulation Division 1938-76
  • 266.5 Other Records 1933-64
  • 266.6 Motion Pictures (General)
  • 266.7 Machine-Readable Records (General)

266.1 Administrative History

Established: As an independent agency by the Securities Exchange Act of 1934 (48 Stat. 881), June 6, 1934.

Predecessor Agencies:

  • Securities Division, Federal Trade Commission (FTC, 1933-34)

Functions: Administers federal laws regulating the distribution of securities to the public and the subsequent trading of such securities.

Finding Aids: Preliminary Inventory in National Archives microfiche edition of preliminary inventories.

Related Records:
Records of the Temporary National Economic Committee, RG 144.
Records of the Commodity Futures Trading Commission, RG 180.

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266.2 Records of the Corporation Finance Division
1933-88

History: Securities Division established in FTC, June 1933, pursuant to the Securities Act of 1933 (48 Stat. 78), May 27, 1933. FTC securities-related responsibilities assigned to newly established SEC, 1934 (see 266.1.1), with FTC Securities Division abolished and functions to Registration Division, SEC, effective September 1, 1934. Registration Division acquired, August 1939, administrative responsibility for the Trust Indenture Act of 1939 (53 Stat. 1149), August 3, 1939. Consolidated with Reorganization Division and Investment Company Section of Investment Company Division to form Corporation Finance Division, August 24, 1942, responsible for administering the Securities Act of 1933; the Trust Indenture Act of 1939; corporate reorganization portions of the Bankruptcy Act of 1898 (30 Stat. 544), July 1, 1898, as amended; and the Investment Company Act of 1940 (54 Stat. 789), August 22, 1940.

Textual Records: Numbered case files containing registration statements filed by issuers of securities in accordance with sections 6-8 of the Securities Act of 1933, and related correspondence, 1933-83 (3,576 ft.); with index, 1933-45 (2 ft.).

Motion Pictures : Developing Our Natural Resources, produced by the National Boston Montana Mines Company, and separated from the case files described above, n.d. (3 reels).

Machine-Readable Records: Information registered by issuers of securities in accordance with sections 6-8 of the Securities Act of 1933 ("Registered Offerings Statistics [ROS] System"), 1970-88, with supporting documentation (8 data sets). See also 266.7.

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266.3 Records of the Trading And Exchange Division
1934-77

History: Established July 1934, with responsibility for administering the Securities Exchange Act of 1934. Pursuant to abolition of Investment Advisers Section of Investment Company Division, August 24, 1942, acquired additional responsibility of administering the Investment Advisers Act of 1940 (54 Stat. 847), August 22, 1940.

Textual Records: Numbered case files containing registration statements filed by broker-dealers and securities exchanges in accordance with sections 12 and 13 of the Securities Exchange Act of 1934 and pertinent sections of the Securities Acts Amendments of 1964, and related correspondence, 1934-77 (1,613 ft.). Sample of investigative case files, 1934-45, with index.

Machine-Readable Records: Institutional Investors Study, containing information on securities holdings and transactions of all types of institutional investors, 1964-70, with supporting documentation (21 data sets). See also 266.7.

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266.4 Records of the Corporate Regulation Division
1938-76

Textual Records: Case files, arranged alphabetically by name of individual or organization, relating to reorganization proceedings under Chapters IX and XI of the Bankruptcy Act ("206 Files"), 1938-75 (89 ft.). Numbered case files relating to reorganization proceedings under Chapter X, 1938-76 (833 ft.), and Chapter XI, 1939-75 (8 ft.), of the Bankruptcy Act. Records relating to federal court decisions on corporate reorganization ("R Files"), 1950-65.

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266.5 Other Records
1933-64

Textual Records: Portion of SEC central file (mainly file numbers beginning with 111, 124, and 140) dealing with the various laws administered by SEC, 1933-64 (bulk 1940-60, 18 ft.). Records relating to the SEC investigation of, and report on, Brewster Aeronautical Corporation, 1937-44. "Sofina" report, 1942.

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266.6 Motion Pictures (General)

See under 266.2.

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266.7 Machine-Readable Records (General)

See under 266.2 and 266.3.


Bibliographic note: Web version based on Guide to Federal Records in the National Archives of the United States. Compiled by Robert B. Matchette et al. Washington, DC: National Archives and Records Administration, 1995.
3 volumes, 2428 pages.

Ordering information

This Web version is updated from time to time to include records processed since 1995.


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