Records Managers

Records Control Schedules

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Tip 1: Use Phrases in Quotes

Example:  "audit files"

Without quotation marks, any page containing the words "audit" OR "files" will appear in results.
When surrounded by quotation marks, the words are treated as a phrase and only pages with the exact phrase "audit files" will appear in results. This is the most powerful query refinement technique.

Tip 2: Use a Plus (+) or Minus (-) Sign to Require or Reject Words

Example:  audit files +system -withdrawn

You can require that the word "system" be in any documents in the results list by placing a plus (+) sign before it.
You can reject words with the minus (-) sign.
In the example, no documents with the word "withdrawn" will appear on the results page unless a search engine is programmed to make them appear above the regular results list.

Tip 3: Combine Tips 1, 2

Example:  audit files +"Internal Revenue Service" +system

By combining phrases with a plus (+) or minus (-) sign, and capitalizing where it's appropriate, you can increase the relevance of search results.

Tip 4: Spell Out All Acronyms

Example:  Internal Revenue Service (IRS)

Avoid using acronyms for instance: IRS for Internal Revenue Service can be mistaken for another acronym such as IRS-CI and effect search results.

Tip 5: Searching by Job Number

Example:  N1-016-00-001

NOTE: You MUST enter the job number in the correct format. Consult the SF 15 Numbering Key if necessary.


RG-0266: Securities and Exchange Commission

Go up one directory level

Title Number/Filename
Public Web Records DAA-0266-2013-0002
Office of Compliance Inspections and Examinations Records DAA-0266-2013-0004
Confidential Treatment Request (CTR) Materials DAA-0266-2014-0001
Strategic Planning DAA-0266-2014-0002
SEC Organizational Records DAA-0266-2014-0003
Security Exchange Commission (SEC) Policies and Procedures DAA-0266-2014-0004
Filing Activity Tracking System (FACTS) DAA-0266-2014-0007
E-mail Records of the Non-Capstone Officals of the Securities and Exchange Commission (SEC) DAA-0266-2014-0008
Tips, Complaints, and Referrals (TCR) Intake and Resolution System DAA-0266-2014-0009
SEC Audiovisual Records DAA-0266-2014-0010
Records of the Securities and Exchange Commission (SEC) Chair and Her/His Staff DAA-0266-2014-0011
Securities and Exchange Commission (SEC) Internal Website (The Insider) DAA-0266-2015-0001
Tracking Reporting Examination National Documentation System (TRENDS) DAA-0266-2015-0003
Office of the General Counsel Records DAA-0266-2015-0004
Records of the Office of the Investor Advocate DAA-0266-2015-0005
Confidential Treatment Request (CTR) Materials DAA-0266-2016-0001
Studies and Reports to Congress Inactive DAA-0266-2016-0004
Records of the Office of Credit Ratings DAA-0266-2016-0006
Learning Management System (LMS) DAA-0266-2016-0010
Office of Minority and Women Inclusion (OMWI) Records DAA-0266-2016-0011
Student Loan Repayment Program (SLRP) Records DAA-0266-2016-0013
Intergovernmental Personnel Act (IPA) Assignment Records DAA-0266-2016-0014
Studies and Reports to Congress DAA-0266-2017-0003
Pay Setting Request (PSR) records DAA-0266-2017-0005
Internal Employee Newsletters DAA-0266-2017-0008
SEC Public Website (Site Content) DAA-0266-2017-0010
Complaint Handling, Assignment, Response and Tracking System (CHART) and All Subsequent / Successor Systems N1-266-02-001
September 11 Commission Documents N1-266-05-001
Office of Inspector General FILES N1-266-05-002
Congressionally Mandated Studies Inactive N1-266-09-002
Consolidated New Database and Operational Reports Application (CONDOR) Database N1-266-09-003
Enforcement Investigative Files N1-266-09-004
Office of Public Affairs N1-266-10-001
Office of Human Resources - Employee Reports of Securities Transactions N1-266-11-001
Ethics Office - Conduct Folders N1-266-11-002
Physical Access and Control System N1-266-11-003
Closed Circuit Television System (CCTV) N1-266-11-004
Division of Risk, Strategy and Financial Innovation (RSFI) N1-266-12-001
Securities and Exchange Commission Investigative Case Files N1-266-91-001
Investigative Case Files. Securities and Exchange Commission N1-266-91-002
Records Relating to the Study of Investment Trusts and Companies. 1935-1938. N1-266-93-001
Records Relating to the Investigation of the tucker Corporation by the Securities and Exchange Commission N1-266-93-002
Securities and Exchange Commission Records N1-266-94-001
Complaint Correspondence Files N1-266-95-001
Technical Assistance Files OFFICE OF INTERNATIONAL AFFAIRS N1-266-96-001
The Securities and Exchange Commission's Evaluation, Data Gathering, Analysis, Evaluation N1-266-96-002
The Office of Filings and Information Services of EDGAR Operations N1-266-96-003
SEC' Electronic Data Gathering, Analysis and Retrieval System (EDGAR) Produced Microfiche N1-266-97-002
EDGAR Project Files N1-266-97-003
Swiss Treaty Negotiation Files N1-266-98-001
Office of International Affairs -Financial Issuer Notification System Files N1-266-99-003
Investigative Case Files, Corporate and Business Records NC-266-76-001
Securities Act of 1933 NC1-266-77-01
Security and Exchange Commission Files NC1-266-77-02
Files Considered Obsolete, Assigned Another Number Series, or Completed Programs NC1-266-77-03
Payrolling and Pay Administrative Records NC1-266-78-01
Payrolling and Pay Administrative Records NC1-266-78-02
Records to be Converted to Microfilm NC1-266-79-01
Files Relating to Securities Act of 1933: to be Converted to Microfilm NC1-266-79-02
Office of Applications and Reports Services - Duplicate Files (Unscheduled), Miscellaneous General Correspondence Files NC1-266-81-01
Securities and Exchange Commission - Office of Applications and Reports Services - Disposition Standard Supersedes Standard Established in NC1-266-77-2 NC1-266-81-02
Securities and Exchange Commission - Office of Applications and Reports Services - Records of Former Security and Exchange Commissioners (1934-1967) NC1-266-81-03
Securities and Exchange Commission (SEC) - Comprehensive Schedule NC1-266-82-01
Card Records - Filed Registration Statements NC1-266-82-02
Exemptions from Registration Under Section 12(g) of the Securities Exchange Act of 1934 and Suspension of Trading of Securities Other Than National Securities Exchange NC1-266-82-03
Investors Correspondence Files NC1-266-83-01
Miscellaneous Company Records (1967-1970) NC1-266-83-02
Investment Company Files (1973) - Miscellaneous Company Records (1973) - Corporate Investment Records (1974) - Miscellaneous Company Records (1974) - Inspection(s) of Investment Companies (1975) - Investment Companies Files (1976) NC1-266-83-03
Office of Applications and Reports Services - Comprehensive Files NC1-266-83-04
Securities and Exchange Commission (SEC) - Comprehensive Records NC1-266-83-05
Subject File Maintained by the Securities and Exchange Commission (SEC) Chairmen from 1934-1972 - Contains Policy and Various Issues Monitored by the Agency NC1-266-83-06
Completed Forms, Reference Copies of Publications and Securities Commission (SEC) Documents, Memorandum and Reports Conducted in Various Investigations NC1-266-83-07
Office of Applications and Reports Services - Case Files (1935-1955) NC1-266-83-08
Institutional Investors Study - Completed Forms, Computer Printouts, Transmittal Correspondence, and Documents Indicating What Has Been Input Into a Computer NC1-266-83-09
Stenographic Notes (Investigative Case Files) NC1-266-84-01
Official Orders on a film cartridge via a CAR System NC1-266-84-02
Securities and Exchange Commission (SEC) Investigations during the Second World War NC1-266-84-03
Copies of Court Transcripts and Personal Documents Pertaining to Ford Motor Company Officials NC1-266-84-04
Investment Adviser Registration Application and Related Correspondence NC1-266-84-05