Federal Records Management

Records Control Schedules

These requests for disposition authority documents are agency requests to NARA submitted since 1973.  Older items may have subsequently been superseded by more recent submissions.  Please see the FAQ for more information. Questions about active disposition authorities should be directed to the agency records officer.

NOTE: NARA’s process for determining which records schedules in the RCS are currently valid is an ongoing work in progress. Records schedules will be marked inactive when all items on the schedule have been superseded. Before implementing disposition using these records schedules, always verify that you are using the most recent and current disposition authority (or item).

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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Example:  audit files +system -withdrawn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In the example, no documents with the word "withdrawn" will appear on the results page unless a search engine is programmed to make them appear above the regular results list.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 Inactive 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 Inactive DAA-0266-2014-0009
SEC Audiovisual Records DAA-0266-2014-0010
Records of the SEC Chair and Her/His Staff DAA-0266-2014-0011
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 Inactive DAA-0266-2016-0001
Records of the Office of the Secretary DAA-0266-2016-0002
Studies and Reports to Congress Inactive DAA-0266-2016-0004
Congressional and Intergovernmental Correspondence and Testimony to Congress DAA-0266-2016-0005
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
Offices of the SEC Commissioners Records DAA-0266-2016-0012
Student Loan Repayment Program (SLRP) Records DAA-0266-2016-0013
Intergovernmental Personnel Act (IPA) Assignment Records DAA-0266-2016-0014
Data Marts and Warehouses DAA-0266-2017-0002
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
Disgorgement Records DAA-0266-2017-0009
SEC Public Website (Site Content) DAA-0266-2017-0010
Audit Liaison and Follow-up Files for Reports on Mission Units DAA-0266-2017-0011
Delegations of Authority DAA-0266-2018-0001
Office of Inspector General Records DAA-0266-2018-0002
Records of the Office of the Chief Accountant DAA-0266-2018-0003
Registration Statement and Periodic Report Internal Work Products Inactive DAA-0266-2018-0004
Advice and Opinions DAA-0266-2018-0005
Research, Analysis, and Monitoring Records DAA-0266-2018-0006
Applications, Amendments, Exemptions, Filings, and Submissions Processing DAA-0266-2018-0007
Division of Economic and Risk Analysis Records DAA-0266-2018-0008
Tips, Complaints, and Referrals (TCR) Files DAA-0266-2018-0009
Publications and Reports of the Securities and Exchange Commission (SEC) with Continuing Historical Value DAA-0266-2018-0011
Division of Enforcement Case Management and Tracking System (HUB) DAA-0266-2019-0001
Confidential Treatment Materials DAA-0266-2019-0002
Whistleblower Application Files DAA-0266-2019-0003
Small Business Capital Formation Advisory Committee DAA-0266-2019-0004
U.S. Securities and Exchange Commission Staff interpretations DAA-0266-2019-0005
Records of Division of Investment Management Senior Officials DAA-0266-2019-0006
Office of Human Resources -Records of Senior Officials and Their Designees DAA-0266-2020-0001
Rulemaking Records DAA-0266-2020-0002
Requests for waivers and exemptions from federal securities law requirements DAA-0266-2021-0005
Registration Statements, Reports, and Other Filings Pursuant to Various Acts DAA-0266-2021-0007
Office of International Affairs (OIA) Case Files DAA-0266-2021-0009
Records Associated with the Review and Processing of Registration Statements, Reports, Other Filings and Amendments DAA-0266-2022-0001
Exemptive Relief and No Action Letters DAA-0266-2022-0002
Self-Regulatory Organization Rule Filings DAA-0266-2023-0001
SEC Policies Relating to the Use of Alcoholic Beverages in SEC Offices and Buildings and Related Records DAA-0266-2024-0001
Securities and Exchange Commission [Capstone Form] GRS-6-1-0266-2024-0001
Complaint Handling, Assignment, Response and Tracking System (CHART) and All Subsequent / Successor Systems N1-266-02-001
September 11 Commission Documents Inactive N1-266-05-001
Inspector General Records Inactive 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
Division of Enforcment (ENF) Records N1-266-09-004
Public Affairs Records N1-266-10-001
Employee Reports of Securities Transactions Records N1-266-11-001
Ethics and Standards of Conduct FIles N1-266-11-002
Physical Access and Control System Inactive N1-266-11-003
Closed Circuit Television System (CCTV) Inactive N1-266-11-004
Risk, Strategy and Financial Innovation (RSFI) Records Inactive N1-266-12-001
Chairman's Subject and Chronological Files Inactive N1-266-90-001
Miscellaneous Records N1-266-91-001
Investigative Case Files Inactive N1-266-91-002
Study of Investment Trusts and Companies Records, 1935-38 Inactive N1-266-93-001
Tucker Corporation Investigation Records, 1946-59 Inactive N1-266-93-002
Miscellaneous Records N1-266-94-001
Miscellaneous Records N1-266-94-002
Complaint Correspondence Files Inactive N1-266-95-001
Office of International Affairs Miscellaneous Records N1-266-96-001
Evaluation, Data Gathering, Analysis, and Retrieval (EDGAR) System N1-266-96-002
Evaluation, Data Gathering, Analysis, and Retrieval (EDGAR) System N1-266-96-003
Evaluation, Data Gathering, Analysis, and Retrieval (EDGAR) System Microfiche Inactive N1-266-97-002
Evaluation, Data Gathering, Analysis, and Retrieval (EDGAR) System Project Management Records N1-266-97-003
Office of International Affairs, Public Utility Holding Company Act of 1935, and Miscellaenous Records N1-266-98-001
Inspector General Investigation and Audit Records N1-266-99-001
Washington National Records Center (WNRC) Project Records Inactive N1-266-99-002
Financial Issuer Notification System and SEC Form 144 Records Inactive N1-266-99-003
Investigative Case Files, Corporate and Business Records Inactive NC-266-76-001
Filings Complying with the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940 Inactive NC1-266-77-01
Comprehensive Records Schedule Inactive NC1-266-77-02
Files Considered Obsolete, Assigned Another Number Series, or Completed Programs Inactive NC1-266-77-03
Payrolling and Pay Administrative Records Inactive NC1-266-78-02
Records to be Converted to Microfilm Inactive NC1-266-79-02
Duplicate Files and Miscellaneous General Correspondence, 1962-74 Inactive NC1-266-81-01
Reports on Stabilizing Activities (SEC File 17-00-1) Inactive NC1-266-81-02
Miscellaneous SEC File Numbers Inactive NC1-266-82-01
Exemptions from Registration and Suspension of Trading of Securities Other Than National Securities Exchange Inactive NC1-266-82-03
Miscellaneous SEC File Numbers Inactive NC1-266-83-04
Miscellaneous SEC File Numbers Inactive NC1-266-83-05
Chairmen's Case Files, 1934-72; Commissioners' and Chairmen's Subject and Chronological Files Inactive NC1-266-83-06
Accessions of Papers from Individuals' Offices in the Washington National Records Center (WNRC) Inactive NC1-266-83-07
Case Files of Requests from Companies for Confidential Treatment, 1935-55 Inactive NC1-266-83-08
Institutional Investors Study - Completed Forms, Computer Printouts, Transmittal Correspondence, and Documents Indicating What Has Been Input Into a Computer Inactive NC1-266-83-09
Stenographic Notes (Investigative Case Files) Inactive NC1-266-84-01
Official Commission Orders Inactive NC1-266-84-02
Securities and Exchange Commission (SEC) Investigations during the Second World War Inactive NC1-266-84-03
Investment Adviser Registration Application and Related Correspondence Inactive NC1-266-84-05