TITLE: 2-33-333- Filings
Acronym:


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Information containing filings received in the Commission from Registrants pursuant to filing requirements prescribed in Securities of 1933 administered thereby. This includes registration statements, periodic reports (annual, quarterly, current), annual reports to shareholders, and proxy soliciting material. Retention period is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Act of 1933.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: Various


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 am - 5:30 pm
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1
CONTROL IDENTIFIER: SEC0001
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 9- Filings
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933-Exemption rule 144, notice of proposed resale of restricted securities and resale of securities by control persons (Form 144 adopted April, 1972) (17 CFR 230.144). Retention is for 21 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: Various
AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-5
CONTROL IDENTIFIER: OFIS0002
RECORD SOURCE:
Department/Agency Name: U.S. Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 801- Filings
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Advisers Act. Application for registration as investment adviser and related correspondence. Forms ADV, ADV-S, ADV-W, 5-R, 6-R, 7-R, (17 CFR 275.203-1, 275.203-2, 275.204-1; 17 CFR 279.1 through 279.7). Commission orders fixing effective date of applications for registration as investment adviser. Retention period is for as long as investment adviser is registered with the Commission plus 9 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Advisers Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: 1940 to present


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-43a
CONTROL IDENTIFIER: OFIS0003
RECORD SOURCE:
Department/Agency Name: U.S. Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 811- Filings (Registration)
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940 - Registration. Notification and registration statements (Forms N-8A, N-8B-1, 2, 3, 4, N-8B-2, N-8B-3, N-8B-4, N-1, N-1A, N-2, N-3, N-4, S-6, N-5) (17 CFR 270.8b-10; 17 CFR 274.5, 274.10-14) and related correspondence.

Retention period is for 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: 1940 to present


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-5-12


CONTROL IDENTIFIER: OFIS0004


RECORD SOURCE:
Department/Agency Name: U.S. Securities and Exchange Commission
Name of Division/Office: OFIS


DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 811- Filings (Periodic Reports)
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940 - Periodic Reports. Periodic reports (annual, quarterly, semi-annual, proxy material) (Forms N-1R, N-SAR, N-30A-2, N-30A-3, N-5R, N-1Q) (17 CFR 270.30a-1, 30b1-1, 30d-1; 17 CFR 274.101 - 106). Retention period is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: 1940 to present


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-66


CONTROL IDENTIFIER: OFIS0005


RECORD SOURCE:
Department/Agency Name: U.S. Securities and Exchange Commission
Name of Division/Office: OFIS


DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 5- Filings
Acronym:


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Acquisitions, tender offers and solicitations. Records retention is 20 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: 266-91-1-11


CONTROL IDENTIFIER: OFIS006


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS


DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 0-1- Filings
Acronym:


Originator:
Department/Agency Name: Securities and Exchange Commission


Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Information containing filings received in the Commission from Registrants pursuant to filing requirements prescribed in Securities Exchange Act of 1934 administered thereby.

This includes registration statements, periodic reports (annual, quarterly, current), annual reports to shareholders, and proxy soliciting material. Retention period is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1


CONTROL IDENTIFIER: OFIS0007


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS


DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 6- Filings
Acronym:


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports of beneficial ownership of securities (Forms 3, 4, 5). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050
Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: 266-91-1-11
CONTROL IDENTIFIER: OFIS0008
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/12/12
TITLE: 8- Filings
Acronym:


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as broker, dealer, municipal securities broker, or government securities broker or dealer and related reports. Retention is for as long as broker dealer is registered with the Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: Various


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050
Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: 266-94-2-1a
CONTROL IDENTIFIER: SEC0009


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS


DATE OF LAST MODIFICATION: 1995/12/12
TITLE: SEC Information Line
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: This product provides a variety of information about the SEC to callers through various mailboxes and/or fax documents.


PURPOSE: To make general information regarding the U.S. Securities and Exchange Commission easily assessable via phone or fax.


AGENCY PROGRAM: This product enables callers to access general information pertaining to EDGAR, FOIA, registration and organizational, personnel, and publications information.


AVAILABILITY:
Distributor Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City : Washington
State: DC
Zip: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202-942-8090
Fax: 202-942-4050


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number:


CONTROL IDENTIFIER: OFIS0010


RECORD SOURCE:
Department/Agency Name: U.S. Securities and Exchange Commission
DATE OF LAST MODIFICATION: 1996/1/25
TITLE: Litigation Filings
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organization Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Litigation Files - Documents of litigation in United States Courts (except reorganization cases in U.S. District Courts) in which the Commission participates in any capacity. Retention period is 10 years.


PURPOSE: Litigation brought by the Commission, either in connection with the securities laws or against the Commission in the United States Courts.


AGENCY PROGRAM: 17 CFR. 200 authorizes the Securities and Exchange commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax:202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission' schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
User Constraints: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-84A
CONTROL IDENTIFIER: OFIS0011
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Litigation Filings (Briefs)
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Litigation Files - Briefs. Retention period is 25 years.


PURPOSE: Litigation brought by the Commission, either in connection with the securities laws or against the Commission in the United States Courts.


AGENCY PROGRAM: 17 CFR. 200 authorizes the Securities and Exchange commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission' schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-84B U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0012
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 18- Filings
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Exemptions. Applications for exemption from Section 5 registration for interests or participations issued in connection with Keogh Plans (Section 3(a)(2)). Retention period is 10 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-2 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0013
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29


TITLE: 19- Filings
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Notice of sale of securities pursuant to Section 4(6) of the Securities Act of 1933 (Form 4(6)). (17 CFR 239.246) (OBSOLETE). Retention period is 6 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-3 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0014
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29 Title: 20- Filings (Schedules A, B, C, D)
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation B. Offering sheets for oil or gas royalties - Regulation B (Schedules A, B, C, D) (17 CFR 230.310 (a)). Retention period is 15 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-3 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0015
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 20- Filings (Forms 3-G)
Acronym: 20-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation B. Reports after termination of offering (Forms 3-G) (17 CFR 230.316(b)). Retention period is 7 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-5 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0016
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 21- Filings (Regulation D)
Acronym:


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933. Notice of sale for offerings under Regulation D and Section 4(6) (Form D). (17 CFR 230.501; 17 CFR 39.500). Retention period is 6 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-4 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0017
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29


TITLE: 29- Filings
Acronym: 29-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Report of issuers of sale of securities deemed not to involve any public offering (Form 146) - Securities Act of 1933 (17 CFR 30.146; 17 CFR 239.146) (OBSOLETE). Retention period is 6 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-7 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0018
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 94- Filings (form 1-F)
Acronym: 94-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation F. Notification of exemption for assessment or assessable stock and related correspondence. (Form 1-F) (17 CFR 230.651). Retention period is 10 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code:20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-5-6 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0019
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 95- Filings (Forms 1-E, 2-E)
Acronym: 95-
Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation E. Notification of exemption for securities issued by a Small Business Investment Company (Forms 1-E, 2-E) and related correspondence (17 CFR 230.601). Retention period is until completion or termination of offering plus 5 years or until order of Commission permanently suspending exemption, whichever comes first.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code:20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-7 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0020
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 96- Filings
Acronym: 96-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation F. Application for relief from disability - Regulation F and related correspondence (17 CFR 230.651 (c)). Retention period is until final action on appeal is taken plus 5 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sale thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value.


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code:20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-9078
Fax: 202 942-4050


Order Process:Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-3 U.S. Securities and Exchange Commission
CONTROL IDENTIFIER: OFIS0021
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1995/2/29
TITLE: 100- Filings
Acronym: 100-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission


Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Exemption Rule 236. Notification of exemption pursuant to Rule 236 and related correspondence (17 CFR 30.236). Retention period is 6 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-8
CONTROL IDENTIFIER: OFIS0021
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 98- Filings
Acronym: 98-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Exemption Rule 273. Notice of proposed sale by non-controlling person of restricted securities of issuers which do not satisfy all of the conditions of Rule 144 (adopted 1972) and related correspondence (Form 237) (17 CFR 230.237). Retention period is 6 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-7
CONTROL IDENTIFIER: OFIS0023
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 92- Filings
Acronym: 92-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Rule 252(F). Application for relief from disability - Regulation A and related correspondence (17 CFR 230.252 (f)). Retention period is until when final action on appeal is taken plus 10 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-6
CONTROL IDENTIFIER: OFIS0024
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 24- Filings (Forms 1-A through 6-A)
Acronym: 24-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Service


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Small Issue Exemption. Notification of exemption from registration (Regulation A) (Forms 1-A through 6-A) (17 CFR 230.251 et seq.). Commission orders terminating or abandoning Offering Statement under Regulation A. Retention period is until completion or termination of offering plus 10 years or order of the Commission permanently suspending exemption, whichever comes first.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-2
CONTROL IDENTIFIER: OFIS0025
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 20- Filings (Forms 1-G)
Acronym: 20-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933 - Regulation B. Reports of sale (accorded confidential treatment) (Forms 1-G) (17 CFR 30.316 (a)). Retention period is 7 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-1
CONTROL IDENTIFIER: OFIS0026
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 12- Filings (Forms U-12(I)-A & B)
Acronym: 12-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Statements pursuant to Section 12(i) by persons employed or retained by a registered holding company or subsidiary thereof (Forms U-12(I)-A & B) (17 CFR 250.71(a) & (b); 17 CFR 259.212a & 212b), and related correspondence. Retention period is 2 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-30
CONTROL IDENTIFIER: OFIS0027
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 54- Filings
Acronym: 54-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Divestment of securities, assets or control Section 11(e) of the Act and related correspondence. Retention period is until closed plus 3 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-26
CONTROL IDENTIFIER: OFIS0028
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 31- Filings
Acronym: 31-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Statements and Reports from unregistered (exempt) companies. Statement of exemption from the Act by Commission order (17 CFR 250.7(b)(4), and related correspondence. Retention period is for as long as company relies on exemption plus 10 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-34
CONTROL IDENTIFIER: OFIS0030
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 32- Filings (Form U7D)
Acronym: 32-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Exemption of purchaser, assignee, etc. of leased facilities (Form U7D) (17 CFR 250.7(d); 17 CFR 259.404), and related correspondence. Retention period is until lease is terminated or cancelled plus 5 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-57
CONTROL IDENTIFIER: OFIS0030
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 37- Filings (Form U-13-1)
Acronym: 37-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Applications and declarations for authorization of service companies (Form U-13-1) (17 CFR 250.83(a), 88(a) and (b); 17 CFR 259.113), and related correspondence. Retention period is for as long as service company is part of a registered holding company plus 5 years.


PURPOSE: To provide full and fair disclosure of the character of the securities of issuers and sold in interstate commerce and through the mails and to prevent fraud in the sales thereof.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None
POINT OF CONTACT FOR FURTHER INFORMATION:
Name: OFIS
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-50
CONTROL IDENTIFIER: OFIS0031
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 34-1 Filings
Acronym: 34-1


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Statements and Reports from Unregistered (Exempt) companies. Annual Statement by banks holding public utility securities but claiming exemption under Rule 3 (Form U-3A3-1) (17 CFR 250.3; 17 CFR 259.403), and related correspondence. Retention period is 2 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-77-2-61
CONTROL IDENTIFIER: OFIS0032
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 38- Filings
Acronym: 38-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Statement under Rule 70(a)(1) executed by financial institution authorizing representative to serve as officer/director of holding company, filed by representative (17 CFR 250.70(a)(1)). Retention period is for as long as officer/director serves plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-31
CONTROL IDENTIFIER: OFIS0033
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 40- Filings
Acronym: 40-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Certificates of notification by registered holding companies and subsidiaries, of security issues exempted from Section 6(a) by Section 6(b) or exempt under Rule 47(b) and not the subject of an order of the Commission. (Form U-6B-2) (17 CFR 250.47(b); 17 CFR 259.206), and related correspondence. Retention period is 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-29
CONTROL IDENTIFIER: OFIS0034
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 49- Filings (Form U-13-69)
Acronym: 49-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Annual report by mutual and subsidiary service companies (Form U-13-60) (17 CFR 250.94; 17 CFR 259.313), and related correspondence. Retention period is for as long as service company is part of a registered holding company system plus 15 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-33
CONTROL IDENTIFIER: OFIS0035
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 814- Filings
Acronym: 814-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Notice of intent to elect to be subject to Sections 55 and 65. Retention period is 2 years from filing date.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-3-39
CONTROL IDENTIFIER: OFIS0036
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 52- Filings
Acronym: 52-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Application for approval of reorganization under Section 11(f) of the Act and related correspondence. Retention period is until closed plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-25
CONTROL IDENTIFIER: OFIS0037
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 50- Filings
Acronym: 50-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Order granting or withdrawing exemptions from rules and related correspondence. Retention period is until closed plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-24
CONTROL IDENTIFIER: OFIS0038
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 30- Filings
Acronym: 30-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Notification and registration by public utility holding companies, annual supplements and related correspondence (Forms U5A, U5B, U5S) (17 CFR 250.1-12, 26; 17 CFR 259.5a, 5b, 5s). Retention period is for as long as holding company has reporting requirements with the Commission plus 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-43
CONTROL IDENTIFIER: OFIS0039
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 55- Filings
Acronym: 55-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Application for approval of fees incurred in connection with plan under Section 11(f) of the Act and related correspondence. (17 CFR 250.63) Retention period is until closed plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-27
CONTROL IDENTIFIER: OFIS0040
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 59- Filings
Acronym: 59-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Period Accounting Reports. Simplification of corporate structure, Sections 11 (b)(1) and (2) of the Act and related correspondence. Retention period is until closed plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-28
CONTROL IDENTIFIER: OFIS0041
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 62- Filings
Acronym: 62-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Report by an affiliate service company or one engaged principally in the performance of services (Form U-13E-1) (17 CFR 250.95; 17 CFR 259.213), and related correspondence. Retention period is for as long as service company is part of a registered holding company system plus 4 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-32
CONTROL IDENTIFIER: OFIS0042
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 68- Filings
Acronym: 68-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Declaration with respect to solicitations regarding reorganization of registered holding companies or subsidiaries subject to Rule 62 (Form U-R-1) (17 CFR 250.62, 65; 17 CFR 259.221), and related correspondence. Retention period is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-56
CONTROL IDENTIFIER: OFIS0043
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 69- Filings (Form U-3A-21)
Acronym: 69-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Statements and reports from unregistered (exempt) companies. Annual statements by holding companies claiming exemption pursuant to Rule 2 (intrastate or predominantly operating companies (Form U-3A-21) (17 CFR 250.2; 17 CFR 259.402), and related correspondence. Retention period is 2 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-60
CONTROL IDENTIFIER: OFIS0044
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 70- Filings (Form U-1)
Acronym: 70-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Applications and Declarations pursuant to Sections 6(b), 7, 9, 9(c)(3), 10, 12(b), 12(c), 12(d), 12(f) and applicable rules thereunder (Form U-1) (17 CFR 250.22, 42, 43, 44-46, 50) (17 CFR 259.101), and related correspondence. Commission order(s) and notices relating to applications or declarations on Form U-1. Retention period is until closed plus 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-23
CONTROL IDENTIFIER: OFIS0045
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 72- Filings
Acronym: 72-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Public Utility Holding Company Act of 1935 - Public Utility Holding Companies. Report of communication with stockholders (Section 14, 15) (17 CFR 250.29(a), and related correspondence. Retention period is 2 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Public Utility Holding Company Act of 1935.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-58
CONTROL IDENTIFIER: OFIS0046
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 22- Filings (Form T-1 through T-4)
Acronym: 22-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Trust Indenture Act of 1939. Statements of eligibility and qualification of corporations or individuals as trustees under qualified indenture under which debt security has been or is to be issued and exemptions thereto (Forms T-1, T-2, T-3, T-4) (17 CFR 260.5a-1(a), (b), 7a-1, 5a-1; 17 CFR 269.1, 2, 3, 4), and related correspondence.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Trust Indenture Act of 1939.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-35
CONTROL IDENTIFIER: OFIS0047
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 25- Filings
Acronym: 25-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Trust Indenture Act of 1940. Applications relative to affiliations between trustees and underwriters (Rule 10b-3). Retention period is until applicable indenture is terminated or cancelled plus 33 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Trust Indenture Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-41
CONTROL IDENTIFIER: OFIS0048
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 93- Filings
Acronym: 93-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Trust Indenture Act of 1939. Reports of indenture trustee to indenture security holders with respect to eligibility and qualification under Section 310 of the Act. Retention period is 1 year.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Trust Indenture Act of 1939.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-64
CONTROL IDENTIFIER: OFIS0049
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 803- Filings
Acronym: 803-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Advisers Act of 1940 - Exemptions. Application for exemption and other relief (Section 206A of the Act), and related correspondence. Retention period is for as long as investment adviser conducts business under an exemption plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Advisers Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-12
CONTROL IDENTIFIER: OFIS0050
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 90- Filings
Acronym: 90-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940 - Exemptions. Application for exemption and other relief (Section 206A of the Act), and related correspondence. Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-14
CONTROL IDENTIFIER: OFIS0051
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 812- Filings
Acronym: 812-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940 - Exemptions. Applications for exemption and other relief (17 CFR 270.02) reports pursuant to Commission order and related correspondence. Commission notices and orders for exemptive relief. Retention period is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-67
CONTROL IDENTIFIER: OFIS0052
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 812- Filings
Acronym: 812-
Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Application by foreign management investment companies for order permitting registration (17 CFR 270.7d-1), and related correspondence. Commission notices and orders for exemptive relief. Retention period is for as long as registrant has reporting requirement with Commission plus 33 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-36
CONTROL IDENTIFIER: OFIS0053
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 813- Filings
Acronym: 813-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Applications for exemption of an employee's security company (Section (b)). Retention period is for as long as registrant has reporting requirement with the Commission plus 33 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-36
CONTROL IDENTIFIER: OFIS0054
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 814- Filings
Acronym: 814-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Notification of withdrawal of election to be subject to sections 55 through 65. Retention period is 2 years from filing date.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-3-39
CONTROL IDENTIFIER: OFIS0055
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 814- Filings
Acronym: 814-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Notification of election to be subject to sections 55 through 65. Retention period is 30 years or for as long as a class of the issuer's equity securities is registered under the Securities Exchange Act of 1934 plus 10 years, whichever comes first.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-3-39
CONTROL IDENTIFIER: OFIS0056
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 816- Filings
Acronym: 816-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Request for advisory report re reorganization of registered investment company (17 CFR 270.02), and related correspondence. Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-69
CONTROL IDENTIFIER: OFIS0057
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 817- Filings
Acronym: 817-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Report of repurchase of securities by closed-end investment company (Form N23C-1) (17 CFR 270.23cl; 17 CFR 274.201), and related correspondence. Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-70
CONTROL IDENTIFIER: OFIS0058
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 818- Filings
Acronym: 818-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Sales literature regarding securities of certain investment companies (Section 24(b)) (17 CFR 270.24b-2), and related correspondence. Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-71
CONTROL IDENTIFIER: OFIS0059
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 819- Filings
Acronym: 819-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Statement of the Federal Savings and Loan Corporation relating to the exemption of certain issuers. Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-72
CONTROL IDENTIFIER: OFIS0060
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 820- Filings
Acronym: 820-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Reports showing that companies have complied with requirements of the rule in purchasing new issues of securities from underwriters (Section 10(f)). Retention period is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-79-2-79
CONTROL IDENTIFIER: OFIS0061
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 821- Filings
Acronym: 821-


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investment Company Act of 1940. Reports by registered small business investment companies and affiliated banks, with respect to investments (Forms N-17F-1). Reports submitted semi-annually covering certain transactions with affiliates (Section 17 (a)). Retention period is 10 years from date of such action(s).


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the Commission, by companies whose securities are listed upon the exchanges are requirements of the Investment Company Act of 1940.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-79-2-80
CONTROL IDENTIFIER: OFIS0062
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Chairman Subject Files
Acronym: CHR


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: SEC Chairman's Subject Case Files - Subject files maintained by individuals during the time they served as Chairman of the SEC. Arranged by the name of Chairman and thereunder alphabetically by the title of the subject file. Retention period is 20 years.


PURPOSE:


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-90-1-1
CONTROL IDENTIFIER: OFIS0063
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Chairman Case Files Acronym: CHR


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: SEC Chairmen's Case Files - Subject files maintained by individuals during the time they served as Chairman of the SEC. Included among these records are 'case files' continuing chronological files. Arrangement by the name of Chairman and thereunder alphabetically by the title of the subject file.


PURPOSE:


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: 1934-1972 Offered to NARA July 1984.


AVAILABILITY:
Distributor:
Name: National Archives and Records Administration
Organization:
Street Address: 8601 Adelphi Road
City: College Park,
State: MD
Zip Code: 20740
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 301 713-6677
Fax: 301 713-6850


Order Process: Information may be obtained by telephone, in person or written request. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-6-2
CONTROL IDENTIFIER: OFIS0064
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Chairman General Subject Files
Acronym: CHR


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: SEC Chairman's General Subject File -Incoming and outgoing correspondence and internal communications relating to specific projects or situations. Retention period is Chairman's tenure in office plus 3 years.


PURPOSE:


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-90-1-3
CONTROL IDENTIFIER: OFIS0065
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Chairman Chronological Files
Acronym: CHR


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: SEC Chairmen's Chronological Files for period 1972 to the Present - Letters signed by SEC officials answering letters addressed to the chairman, and letters signed by the chairman. Almost all of the letters have background documents attached to them. Retention period is Chairman's tenure in office plus 3 years.


PURPOSE:


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-90-1-2
CONTROL IDENTIFIER: OFIS0066
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Commissioners Files
Acronym: COMM


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: SEC Commissioners Files (Excluding Chairman), 1934 to the Present. Both subject and chronological files maintained by commissioners who either never served as chairman or by commissioners during the period they did not serve as chairman.


PURPOSE:


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-6-1
CONTROL IDENTIFIER: OFIS0068
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Enforcement Files (Closed)
Acronym: ENF


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investigative Case Files-Closed. Investigative case files (also known as 'complaint cases' and 'general assignment files') including case files relating to preliminary investigations. Destroy 25 years after closing, except for precedent cases. Offer to NARA if meeting selection criteria..


PURPOSE: To administer federal securities laws that seek to provide protection for investors and to ensure that the securities markets are fair and honest and to provide the means to enforce the securities through sanctions where necessary.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: FOIA/Privacy Act Officer
Organization: Office of Freedom of Information and Privacy Act Operations
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-9633
Order Process: Information is non-public. Requests should be made through the Commission's FOIA/Privacy Act Officer.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: FOIA/Privacy Act Officer
Organization: Office of Freedom of Information and Privacy Act Operations
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-4320
Fax: 202 942-9633
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-2-1a
CONTROL IDENTIFIER: OFIS0067
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/02/29
TITLE: Enforcement Files (Inactive)
Acronym: ENF


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Investigative case files - inactive. For purposes of record retention and disposition, a case is considered inactive when a significant additional expenditure of Commission resources is neither scheduled nor anticipated. Destroyed 25 years after being determined inactive.


PURPOSE: To administer federal securities laws that seek to provide protection for investors and to ensure that the securities markets are fair and honest and to provide the means to enforce the securities through sanctions where necessary.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: FOIA/Privacy Act Officer
Organization: Office of Freedom of Information and Privacy Act Operations
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-9633


Order Process: Information is non-public. Requests should be made through the Commission's FOIA/Privacy Act Officer.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: FOIA/Privacy Act Officer
Organization: Office of Freedom of Information and Privacy Act Operations
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-4320
Fax: 202 942-9633


SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-2-1b
CONTROL IDENTIFIER: OFIS0069
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/02/29
TITLE: S7- Files
Acronym: S7


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Rules Under Various Acts. Issuance amendment or rescission of rules under the various Acts - public comments and views, transcript of hearings, correspondence. Offer to NARA when 5 years old.


PURPOSE:


AGENCY PROGRAM: 17 CFR. 200 authorizes the Securities and Exchange commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-100
CONTROL IDENTIFIER: OFIS0070
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Administrative Proceeding Files
Acronym: 3-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of the Secretary


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: These are files of disciplinary proceedings conducted in accordance with its Rules of Practice to include Commission-initiated enforcement and disciplinary proceedings, and proceedings of disciplinary actions initiated by self-regulatory organizations. In accordance with the Rules of Practice, which conform to the Administrative Procedure Act, the Commission conducts formal administrative proceedings to establish procedural, 'due process' safeguards which will protect the rights and interests of such parties. Destroy when 25 years old.


PURPOSE: To administer federal securities laws that seek to provide protection for investors and to ensure that the securities markets are fair and honest and to provide the means to enforce the securities through sanctions where necessary.


AGENCY PROGRAM: 17 CFR. 200 authorizes the Securities and Exchange commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-76
CONTROL IDENTIFIER: OFIS0071
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 7- Filings
Acronym: 7-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications for permission to extend unlisted trading privileges and related applications pursuant to Rule 12(f). Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-34
CONTROL IDENTIFIER: OFIS0072
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 4- Files
Acronym: 4-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Information and Filing Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: General Conference, Studies, Roundtable - Miscellaneous studies, conferences or roundtable discussions authorized by the Commission; petitions and/or requests for exemption from rules or regulations for which no specific procedures are provided. Retention is for 25 years.


PURPOSE: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-79
CONTROL IDENTIFIER: OFIS0073
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-00-2A Filings
Acronym: 8-00-2A


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Annual audit report (fiscal or calendar year basis) (Form X-17A-5). (Non-public) Supplemental report detailing Securities Investor Protection Corporation assessment payment or overpayments (Rule 17a-5). (Non-public). Retention is For as long a broker-dealer is registered with the Commission plus 13 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-38
CONTROL IDENTIFIER: OFIS0074
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-00-2A-19- Filings
Acronym: 8-00-2A-19


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports of changes in membership of any of its members required of national securities exchanges and registered national securities associations (Form X-17A-19). (Public) Retention is for as long as broker-dealer is registered with the Commission plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-79-2-24
CONTROL IDENTIFIER: OFIS0075
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-00-9 Filings
Acronym: 8-00-9


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Uniform application for securities & commodities industry representative and/or agent; certification for associated persons engaged in securities activities outside the jurisdiction of the United States; annual assessment form for registered brokers and dealers not members of a registered national securities association (Forms U-4, SECO 2-f, SECO-4, 5). Retention is for as long as broker dealer is registered with the Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-2
CONTROL IDENTIFIER: OFIS0076
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-00-3X Filings
Acronym: 8-00-3X


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Examination/inspection reports of brokers and dealers, investment companies and investment advisors (1) Exam reports, Home Office & Regional offices; (2) Exam workpapers. Retention is 13 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-37
CONTROL IDENTIFIER: OFIS0077
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-2A10 Filings
Acronym: 8-2A10


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Annual report of revenue and expenses filed by exchange members, brokers and dealers (Form X-17A-10). (Obsolete) Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-24
CONTROL IDENTIFIER: OFIS0078
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 9-2A12 Filings
Acronym: 8-2A12


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Report by registered brokers and dealers who are over-the-counter market makers in any OTC margin securities (Form X-17A-12). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-25
CONTROL IDENTIFIER: OFIS0079
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Confidential Treatment Filings
Acronym: Confidential Treatment materials


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Periodic reports and other materials containing contracts, commercial and financial information, disclosure of which would impair the value thereof, submitted under confidential cover. Retention is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities and Exchange Acts.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-89
CONTROL IDENTIFIER: OFIS0080
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-2A17 Filings
Acronym: 8-2A17


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Quarterly report filed by every broker-dealer block positioner who has filed a notice pursuant to paragraph (a) of Rule 17a-17 (Form X-17A-17) (Obsolete). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-27
CONTROL IDENTIFIER: OFIS0081
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 10- Filings
Acronym: 10-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications by an exchange for registration as a national securities exchange. Retention is for as long as exchanges are registered with the Commission plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-5
CONTROL IDENTIFIER: OFIS0082
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 13- Filings
Acronym: 13-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications for listing securities on an exempted exchange, periodic reports. Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-32
CONTROL IDENTIFIER: OFIS0083
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 14- Filings
Acronym: 14-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Annual reports of issuers having securities listed on an exempted exchange. Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-33
CONTROL IDENTIFIER: OFIS0084
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 16- Filings
Acronym: 16-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as a national securities association or affiliated securities associations. Retention is for as long as the association is registered with the Commission plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-7
CONTROL IDENTIFIER: OFIS0085
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 17- Filings
Acronym: 17-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports on stabilizing activities (Form X-17A-1). (Obsolete). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-5-11
CONTROL IDENTIFIER: OFIS0086
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 23- Filings
Acronym: 23-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications for exemption pursuant to paragraph (g) of Rule 11Aa3-1. Retention is until closed plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-79-2-31
CONTROL IDENTIFIER: OFIS0087
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Filings
Acronym: 26-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Plans by exchanges authorizing payment of special commission in connection with a distribution of securities on exchanges (Rule 10b-2(d). Retention is for as long as exchange is registered with the commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-10
CONTROL IDENTIFIER: OFIS0088
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 27- Filings
Acronym: 27-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for exemption from section 13(f). Retention is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-5
CONTROL IDENTIFIER: OFIS0089
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 28- Filings
Acronym: 28-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports by institutional investment managers of information with respect to accounts over which they exercise discretion. (Form 13F) Retention is 4 years.
PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.
AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-6
CONTROL IDENTIFIER: OFIS0090
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 80- Filings
Acronym: 80-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Annual and supplemental reports of Municipal Securities Rulemaking Broad (Rule 17a-21). Retention is indefinite (contingent)


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-04050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-79-2-34
CONTROL IDENTIFIER: OFIS0091
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 15- Filings
Acronym: 15-
Originator:
Department/Agency Name: U.S. Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities Act of 1933. Notice of sale of securities pursuant to Rule 242 (Form 242) - Securities Act of 1933 (17 CFR230.242; 17 CFR 239.242) (OBSOLETE). The retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-4-1
CONTROL IDENTIFIER: OFIS0092
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 81- Filings
Acronym: 81-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Exemption from registration under section 12(g). Retention is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-3-1
CONTROL IDENTIFIER: OFIS0093
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 82- Filings
Acronym: 82-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Exemptions - American depositary receipts. Retention is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-83-5-9
CONTROL IDENTIFIER: OFIS0094
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 83-1 Filings
Acronym: 83-1


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Periodic reports and related correspondence by the Inter-American Development Bank. Retention is 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-19
CONTROL IDENTIFIER: OFIS0095
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 83-2 Filings
Acronym: 83-2
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Periodic reports and related correspondence by the Asian Development Bank. Retention is 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-20
CONTROL IDENTIFIER: OFIS0096
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 84- Filings
Acronym: 84-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as a transfer agent (bank) and amendments thereto (Form TA-1). Retention is for as long as transfer agent is registered with the Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-8
CONTROL IDENTIFIER: OFIS0097
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 85- Filings
Acronym: 85-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as a transfer agent (bank) and amendments thereto (Form TA-1). Retention is for as long as transfer agent is registered with the Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-9
CONTROL IDENTIFIER: OFIS0098
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 86- Filings
Acronym: 86-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as a municipal securities dealer which is a bank or separately identifiable department or division of a bank (Form MSD). Retention is for a long as municipal dealer is registered with Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-5
CONTROL IDENTIFIER: OFIS0099
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 87- Filings
Acronym: 87-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for registration as a securities information processor and amendments thereto. (Form SIP). Retention is for a long as securities processor is registered with Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-6
CONTROL IDENTIFIER: OFIS0100
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 88- Filings
Acronym: 88-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Application for exemption as a securities information processor and correspondence thereto. Retention is for a long as securities processor is registered with Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-7
CONTROL IDENTIFIER: OFIS0101
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 89- Filings
Acronym: 89-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Waiver for foreign issuers furnished by American depositary receipts; waiver of information furnished by American depositary receipts regarding foreign issuers for Form F-6; waiver of Rule 12g3-2(b) reporting requirements, annual reports to shareholders, F-6 waiver, proxy. Retention is for 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-45
CONTROL IDENTIFIER: OFIS0102
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 89- Filings
Acronym: 89-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Other waivers for foreign issuers furnished by American depositary receipts. Retention is for 3 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-46
CONTROL IDENTIFIER: OFIS0103
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 128-8 Filings
Acronym: 128-8


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports of disciplinary actions by stock exchanges (Rule 19d-1). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-87
CONTROL IDENTIFIER: OFIS0104
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 205-3c Filings
Acronym: 205-3c


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports of disciplinary actions by NASD (Rule 19d-1). Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-87
CONTROL IDENTIFIER: OFIS0105
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 500- Filings
Acronym: 500-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Suspension of trading of securities other than on a national securities exchange. Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-3-2
CONTROL IDENTIFIER: OFIS0106
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 600- Filings
Acronym: 600-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications for registration as a (non-bank) clearing agency; amendments thereto. Retention is for as long as clearing agency is registered with the Commission plus 50 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-94-2-4
CONTROL IDENTIFIER: OFIS0107
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 600-9 Filings
Acronym: 600-9


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports of disciplinary actions by clearing agencies (Rule 19d-1). Retention is for 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-87
CONTROL IDENTIFIER: OFIS0108
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 601- Filings
Acronym: 601-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Applications for exemption from registration as a (non-bank) clearing agency. Retention is for as long as clearing agency has reporting requirements with the Commission plus 20 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-91-1-17
CONTROL IDENTIFIER: OFIS0109
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: SR- Filings
Acronym: SR-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Proposed rule changes and notices as to stated policies and interpretations by self-regulatory organizations. Retention is for as long as self-regulatory organization is registered with the Commission plus 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-82-1-8
CONTROL IDENTIFIER: OFIS0110
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Missing, Lost Stolen Securities
Acronym: XX


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reports for missing, lost or counterfeit securities (Form X-17F-1A). Retention is indefinite.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: Not Scheduled
CONTROL IDENTIFIER: OFIS0111
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 26- Filings
Acronym: 26-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Plans by exchanges authorizing payment of special commission in connection with a distribution of securities on exchanges (Rule 10b-2(d)). Retention is destroy when 50 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-04-2-10
CONTROL IDENTIFIER: OFIS0112
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 8-2A16(1) Filings
Acronym: 8-2A16(1),-2A16(2)


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Notification by qualified market makers at least five business days before such broker-dealers obtain third market maker exempt credit pursuant to Regulation U; and quarterly report by broker and dealer, who during a calendar quarter is or has been qualified as a third market maker (Forms (X-17A-16(1); X-17A-16(2). (Obsolete) Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-26
CONTROL IDENTIFIER: OFIS0113
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 4- Filings
Acronym: 4-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: 102(e) proceedings (previously 2(e) proceedings (changed to 3-). Retention is for 25 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-78
CONTROL IDENTIFIER: OFIS0114
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 111- Filings
Acronym: 111-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Federal government agencies miscellaneous correspondence. Offer to NARA after 5 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-96
CONTROL IDENTIFIER: OFIS0115
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 119- Filings
Acronym: 119-


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Securities violation files (information regarding persons against whom actions were reported on charges of violating state or federal laws in the purchase and sale of securities. Retention is until date of last reported action plus 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-87
CONTROL IDENTIFIER: OFIS0116
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 122-2 Filings
Acronym: 122-2


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Members of Congress (inquiries relating to various subjects). Retention is for 1 year after expiration of term in office.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-92
CONTROL IDENTIFIER: OFIS0117
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 122-3 Filings
Acronym: 122-3


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Correspondence and other materials between the various Senate Committees and the Commission. Offer to NARA after 5 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-93
CONTROL IDENTIFIER: OFIS0118
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 122-4 Filings
Acronym: 122-4


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Correspondence and other materials between the various House Committees and the Commission. Offer to NARA after 5 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-94
CONTROL IDENTIFIER: OFIS0119
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 122-6 Filings
Acronym: 122-6


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Correspondence and other materials between the various Congressional Commissions and Joint Committees and the Commission. Offer to NARA after 5 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-95
CONTROL IDENTIFIER: OFIS0120
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 123-13 Filings
Acronym: 123-13


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Correspondence relating to the development of the Canadian Extradition Treaty. Offer to NARA after 5 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-91
CONTROL IDENTIFIER: OFIS0121
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 124- Filings (Stock Exchanges)
Acronym: 124-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Stock Exchanges (General Correspondence). Retention is for 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-102
CONTROL IDENTIFIER: OFIS0122
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 124- Files (Legislation and Laws)
Acronym: 124-1 - 124-6, 124-11, 124-20


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Subject Files - Legislation and Laws: Drafts and comments concerning suggested amendments to the various Acts administered by the Commission. Retention is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-97
CONTROL IDENTIFIER: OFIS0123
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 124- Files (Subject)
Acronym: 124-7, 124-7a


Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Subject Files - Drafts and comments concerning proposed legislation submitted by the Senate and House to the SEC for comment. Retention is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-98
CONTROL IDENTIFIER: OFIS0124
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 124-7b Files
Acronym: 124-7b
Originator:
Department/Agency Name: Securities and Exchange Commission


Major Organizational Subdivision: Office of Filings and Information Services


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Subject Files - Drafts of bills not yet reported to Congress submitted to the Commission for comment. Retention is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-99
CONTROL IDENTIFIER: OFIS0125
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 132-3 Files (Active Companies)
Acronym: 132-3
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: General Correspondence - Active Companies. Inquiries and complaints concerning companies registered under the various Acts administered by the Commission. Retention is 10 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-81
CONTROL IDENTIFIER: OFIS0126
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: 132-3 Files (Inactive Companies)
Acronym: 132-3
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: General Correspondence - Inactive Companies. Inquiries and complaints concerning companies registered under the various Acts administered by the Commission. Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-82
CONTROL IDENTIFIER: OFIS0127
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 132-3 Files (Miscellaneous)
Acronym: 132-3
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: General Correspondence - Miscellaneous. Requests for interpretation of rules and regulations under the Acts administered by the Commission. Retention is 6 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-83
CONTROL IDENTIFIER: OFIS0128
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 140- Filings
Acronym: 140-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Drafts, internal memoranda, correspondence concerning rules and regulations under each of the Acts administered by the Commission. Retention is 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-101
CONTROL IDENTIFIER: OFIS0129
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: 265- Files
Acronym: 265-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Advisory Committees established by the Commission (correspondence, questionnaires, reports). Retention is for 30 years.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-90
CONTROL IDENTIFIER: OFIS0130
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Reorganization Proceeding Files
Acronym: 206-, 207- to 215-, 917-
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Reorganization proceedings under Chapters IX, X, XI of the Bankruptcy Act in which the Commission participates. Retention is permanent. Offer to NARA when 5 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-85
CONTROL IDENTIFIER: OFIS0132
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Office of Investor Education and Assistance Files
Acronym: OIEA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Complaint Correspondence Files. Anonymous letters, letters of complaint, criticism and replies thereto. Arranged by Agency Correspondence Tracking System Log Number. Retention is destroy when 4 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-95-1
CONTROL IDENTIFIER: OFIS0133
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30 Title: Office of the Secretary Files
Acronym: OS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Minutes of Commission meetings. Record copies of minutes of the Commission since it establishment and orders and opinions of the Commission. Retention is permanent. Offer to NARA when 5 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-77-2-88
CONTROL IDENTIFIER: OFIS0134
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1996/9/30
TITLE: Data Movement Notification Files
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Data Movement Notification Sheets and Support Documentation. All fee and fee filing data movements are recorded, approved and reviewed on this form. All supporting documentation is attached. When applicable, copies of E-mails from Corp Finance and Investment Management requesting adjustments on Fee Filings will be included in appropriate file. Filed alphabetically by Company. Cut off annually. Transfer to FRC after cutoff. Destroy 6 years and 3 months after cutoff.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-1
CONTROL IDENTIFIER: OFIS0135
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Data Movement Correspondence Files
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Data Movement Correspondence. Correspondence received from filers as a result of filer activity statements and responses thereto. Filed alphabetically by Company. Cut off annually. Transfer to FRC after cutoff. Destroy 6 years and 3 months after cutoff.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-2
CONTROL IDENTIFIER: OFIS0136
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Fee Data Movment Reports
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Daily Verification Reports. Computer generated reports that are used by staff to verify each day's input (on-file-date). Data movements relating to fees and fee filings only. Cut off annually. Destroy after 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-3
CONTROL IDENTIFIER: OFIS0137
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Fee Data Movement Files
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Mellon Advices Files. Copies of checks, wires, etc. Maintained for staff use in research and fee problem resolution. Filed in jacket folders by deposit dates. Cut off annually. Destroy after 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-4
CONTROL IDENTIFIER: OFIS0138
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Fee Data Movement Files
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Unassigned Fee files. Printouts and workpapers on updating and verifying unassigned fees. Cut off annually. Destroy after 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-5
CONTROL IDENTIFIER: OFIS0139
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Fee Data Movement Daily Logs
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Daily Fee Logs. Daily computer generated reports which are used by staff for fee adjustments. Cut off annually. Destroy after 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-6
CONTROL IDENTIFIER: OFIS0140
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Fee Data Movement Activity Statement Files
Acronym: OFIS
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Returned Activity Statements Files. Returned activity statements which were mailed to companies and returned because of undeliverable address. Filed chronologically with envelopes to show proof of attempted delivery. Destroy when 1 year old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-3-7
CONTROL IDENTIFIER: OFIS0141
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Technical Assistance)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Technical Assistance Files. Files contain requests for technical assistance (TA), draft and final agreements with US AID on TA projects, SEC TA communications, project plans and reports. Arranged by country and then by subject, chronologically. Review annually. Destroy when no longer needed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-1
CONTROL IDENTIFIER: OFIS0142
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Institute)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Institute Files. Files contain general information on the SEC's International Institute for Securities market Development and on the SEC's International Enforcement Training and Market Surveillance Institute Program, including information on programs, participants, speakers, and materials. Arranged by country and by subject. 1. Permanent. Subject files. These consist of training materials arranged by subject used to conduct the Institute. Cut off annually and place in an inactive file. Transfer to WNRC when 2 years old. Transfer to the National Archives when 7 years old.

2. Temporary. Participant files. These files are arranged by country and contain information on Institute participants. Destroy when no longer needed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-2
CONTROL IDENTIFIER: OFIS0143
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Meetings & Conferences)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: International Organization and Meeting Files. Files contain reports and background information on international securities meeting in which OIA participates as part of its principal mission. These include Wilton Park, Penny Stock Conference, COSRA, and IOSCO. Arranged by subject, divided by year. 1. Temporary. Selected conferences of continuing interest. Cut off file at close of conference. Transfer to WNRC when 6 years old. Destroy when 25 years old.

2. Temporary. Conference not of continuing interest. Transfer to FRC one year after closing. Destroy 5 years after conference is closed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-3
CONTROL IDENTIFIER: OFIS0144
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (MOUs)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Memorandum of Understanding (MOU) Files. These files
contain: 1) extra copies of MOUs with some background material attached; 2) work papers generated during MOU formation; 3) substantive MOU meeting reports, closing memos, and analyses. Arranged by country. 1. Temporary. MOU copy file contains copies of MOUs with background material. Review annually and destroy when no longer needed.

2. Temporary. MOU Work papers. Cutoff file after MOU has been agreed upon in writing by both parties. Retire to FRC in five year blocks. Destroy when earliest file is 25 years old (For example, MOU work paper 1990-94 would be retired in 1995 and destroyed in 2015.)


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-5
CONTROL IDENTIFIER: OFIS0145
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Press Releases/Speeches)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Press Releases/Speech Files. Files contain copies of speeches by principal OIA staff and copies of Commission speeches and press releases. Arranged by date. Temporary. Review annually. Destroy when no longer needed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-6
CONTROL IDENTIFIER: OFIS0146
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Country)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Country files. Files contain country specific information maintained for OIA reference. Arranged by country.

1. Temporary. Reference. These include magazine articles, brochures, clippings and other reference material originating outside OIA. Review annually and destroy when no longer needed.

2. Temporary. Correspondence. These are subdivided by subject. Files contain routine meeting and project correspondence. Review annually and destroy when no longer needed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-7
CONTROL IDENTIFIER: OFIS0147
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (Cases)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Case Files. Files contain complete case histories of OIA enforcement investigations and information requests. Arranged by case name. 1. Temporary. Investigative case files cut off on close of case. Transfer annually to WNRC. Destroy when 25 years old.

2. SEC Requests to Foreign Authorities. Files contain copies of SEC information requests to foreign authorities. Arranged alphabetically by country. Temporary. Cut off files at close of case. Hold for one year after cutoff then transfer to the FRC. Destroy when 15 years old.

3. Foreign Requests to the SEC. Files contain information requests from foreign authorities. Arranged alphabetically by country. Temporary. Cut off files at close of case. Hold for one year after cutoff then transfer to the FRC. Destroy when 15 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-8
CONTROL IDENTIFIER: OFIS0148
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of International Affairs Files (ISECA Legislative)
Acronym: OIA
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: ISECA Legislative History Files. Files contain complete legislative history of the International Securities Enforcement Cooperation Act of 1990. Temporary. Review annually. Destroy when no longer needed.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-96-1-9
CONTROL IDENTIFIER: OFIS0149
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: EDGAR Project Files
Acronym: OIT
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: EDGAR Project Files. Technical studies, working group/task force minutes, contractor correspondence, pilot group evaluation, correspondence and miscellaneous reference materials. Temporary. Cutoff annually. Destroy when 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-97-3-1
CONTROL IDENTIFIER: OFIS0150
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of EDGAR Management Correspondence Files
Acronym: OIT
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: EDGAR Project Correspondence Files. General administration and correspondence files. Filed separately in incoming and outgoing. Maintained in chronological order. Temporary. Cutoff annually. Destroy when 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-97-3-2
CONTROL IDENTIFIER: OFIS0151
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Office of Information Technology Correspondence Files
Acronym: OIT
Originator:
Department/Agency Name: Securities and Exchange Commission
Major Organizational Subdivision: Office of Filings and Information Services
LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: OIT Correspondence Files. General administration and correspondence files. Filed separately in incoming and outgoing. Maintained in chronological order. Temporary. Cutoff annually. Destroy when 3 years old.


PURPOSE: Filings of registration applications, annual and other reports with national securities exchanges and the commission, by companies whose securities are listed upon the exchanges are requirements of the Securities Exchange Act of 1934.


AGENCY PROGRAM: 17.CFR.200 authorizes the Securities and Exchange Commission to administer the statutory requirements to provide protection for investors and the public in their securities transactions.


Time Period of Content: See Retention Value


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, N.W.
City: Washington
State: DC
Zip Code: 20549
Country:USA
Network Address: PublicInfo@sec.gov
Telephone: 202 942-8078
Fax: 202 942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None
SOURCES OF DATA: N/A
ACCESS CONSTRAINTS: None
USE CONSTRAINTS: None


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Public Reference Room
Organization: OFIS
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Hours of Service: 9:00 a.m. -5:30 p.m.
Telephone: 202 942-8078
Fax: 202 942-4050
SUPPLEMENTAL INFORMATION:
Schedule Number: N1-266-97-3-3
CONTROL IDENTIFIER: OFIS0152
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: OFIS
DATE OF LAST MODIFICATION: 1997/7/31
TITLE: Electronic Data Gathering, Analysis and Retrieval
Acronym: EDGAR


Originator:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Division of Corporation Finance


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Electronic Data Gathering Analysis and Retrieval of transactional, periodic, Williams Act and certain beneficial ownership forms.


PURPOSE: Automated program support.


AGENCY PROGRAM: Full Disclosure


Time Period of Content: Based on Records Retention Schedule 17 CFR 200.80f


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202-942-8078
Fax: 202-942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Other Distributors: Lexis Nexis


Technical Prerequisites: None


SOURCES OF DATA: Filings


ACCESS CONSTRAINTS: Public Disseminator; SEC Web site; Public Reference Room


USE CONSTRAINTS: None


POINT OF CONTACT:
Name: Securities and Exchange Commission
Organization: Office of Information Technology
Street Address: 6432 General Green Way
City: Alexandria
State: VA
Zip Code: 22312
Country: USA
Network Address: None
Hours of Service 9:00 a.m. to 5:30 p.m. EST
Telephone: 202-942-8800
Fax: 202-504-2477


SUPPLEMENTAL INFORMATION:


Schedule Number: N1-266-96-2


CONTROL IDENTIFIER: OIT000001


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Information Technology


DATE OF LAST MODIFICATION: 1996/08/29
TITLE: Securities and Exchange Commission's Home Page
Acronym: Home Page


Originator:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Information Technology

Local Subject Index
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: The Securities and Exchange Commission protects investors and maintains fair and orderly markets. This server contains the SEC's current news, access to EDGAR filings of Corporation Information, News Digests and Public Statements, and Enforcement Actions as well as other information of interest to the general public.


PURPOSE: The purpose of the SEC's Internet site is to provide the investing public with a reliable source of investment guidance, advice, and information so that they may make wise investing decisions. Information available by WWW, FTP, and Gopher.


AGENCY PROGRAM: Full Disclosure


Time Period of Content: Operational since September 28, 1995


AVAILABILITY:
Distributor:
Name: Internet Server
Organization: Securities and Exchange Commission
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Network Address: http://www.sec.gov
Telephone: 202/942-8078


Order Process: The SEC documents cited above are available on the Internet. Users can access SEC's home page directly using the above network address.


Technical Prerequisites: None


SOURCES OF DATA: Filings, Commission Orders, EDGAR system, etc.


ACCESS CONSTRAINTS: Access to Internet required.


USE CONSTRAINTS: None


POINT OF CONTACT:
Name: Securities and Exchange Commission
Organization: Office of Information Technology
Street Address: 6432 General Green Way
City: Alexandria
State: VA
Zip Code: 22312
Country: USA
Network Address: webmaster@sec.gov
Hours of Service: 9:00 a.m to 5:30 p.m. EST
Telephone: 202-942-8800
Fax: 202-504-2477


SUPPLEMENTAL INFORMATION: None


Schedule Number: None


CONTROL IDENTIFIER: OIT000002


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Information Technology


DATE OF LAST MODIFICATION: 1996/08/29
TITLE: Telephone Directory System
Acronym: TDS


Originator:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Administrative and Personnel Management


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: Provides the agency with the ability to update the employee's location and phone information online. Online browse and batch reporting for printing the telephone directory is included.


PURPOSE: Automated administrative support.


AGENCY PROGRAM: Program Direction


Time Period of Content: Based on Records Retention Schedule 17 CFR 200.80f


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202-942-8078
Fax: 202-942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None


SOURCES OF DATA: Internal


ACCESS CONSTRAINTS: Limited to internal use only.


USE CONSTRAINTS: None


POINT OF CONTACT:
Name: Securities and Exchange Commission
Organization: Office of Information Technology
Street Address: 6432 General Green Way
City: Alexandria
State: VA
Zip Code: 22312
Country: USA
Network Address: None
Hours of Service 9:00 a.m. to 5:30 p.m. EST
Telephone: 202-942-8800
Fax: 202-504-2477


SUPPLEMENTAL INFORMATION:


Schedule Number: None


CONTROL IDENTIFIER: OIT000003


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Information Technology


DATE OF LAST MODIFICATION: 1996/08/29
TITLE: Proceedings, Litigation, Action Display
Acronym: PLAD


Originator:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of the Secretary


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: For public display of information compiled for LAPS Bulletin.


PURPOSE: Automated program support.


AGENCY PROGRAM: Full Disclosure


Time Period of Content: Based on Records Retention Schedule 17 CFR 200.80f


AVAILABILITY:
Distributor:
Name: Office of Filings and Information Services
Organization: Public Reference Room
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address: PublicInfo@sec.gov
Telephone: 202-942-8078
Fax: 202-942-4050


Order Process: Information may be obtained by telephone, in person or written request. Levels of service and charges for copies are set out in the Commission's schedule of fees. Each request shall reasonably describe the records with respect to names, dates, file number and subject matter.


Technical Prerequisites: None


SOURCES OF DATA: Litigation


ACCESS CONSTRAINTS: None


USE CONSTRAINTS: None


POINT OF CONTACT:
Name: Securities and Exchange Commission
Organization: Office of Information Technology
Street Address: 6432 General Green Way
City: Alexandria
State: VA
Zip Code: 22312
Country: USA
Network Address: None
Hours of Service 9:00 a.m. to 5:30 p.m. EST
Telephone: 202-942-8800
Fax: 202-504-2477


SUPPLEMENTAL INFORMATION:


Schedule Number: N1-266-77-2-87


CONTROL IDENTIFIER: OIT000005


RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Office of Information Technology


DATE OF LAST MODIFICATION: 1996/09/11
TITLE: SEC Privacy Act Systems


Originator:
Department/Agency Name: U.S. Securities and Exchange Commission


LOCAL SUBJECT INDEX:
LOCAL SUBJECT TERM: US Federal GILS


ABSTRACT: The Securities and Exchange Commission created 44 systems of records maintained on individuals, the descriptions of which are published in the Federal Register as required by the Privacy Act of 1974. These systems contain personal identifiable information about SEC staff and people who have contact with SEC.
Examples of systems of records are: Agency Correspondence Tracking System, Freedom of Information Requests and Staff, Time and Activity Tracking System. The categories of information that each description of a Privacy Act system contains includes the system name, number, and location; security classification; categories of individuals covered by the system; categories of records in the system; authority for maintenance of the system; purpose(s); routine use of records maintained in the system; policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system; storage; retrievability; safeguards; retention and disposal; the name and address of the system manager; procedures for notification, access, and contesting the records; record source categories; and exemptions claimed for the system. By statute and on a biennial basis, the Office of the Federal Register compiles all Privacy Act Notices, revisions to Privacy Act systems, and agencies' rules that define procedures that agencies follow in helping individuals who request information about their records.


PURPOSE: The Privacy Act of 1974 provides certain safeguards to an individual against an invasion of personal privacy. In compliance with the act, all systems containing name-retrievable records or records retrieved by personal identifier must be given public notice through the Federal Register prior to their collection. The Federal Register contains descriptions of all systems of records covered by the Privacy Act, agency recordkeeping policies and practices, and how individuals may gain access to their records. Each Privacy Act system of records has been developed for a distinct purpose which can be found in the description published in the Federal Register in the section "Purpose(s)" or "Routine uses of records maintained in the system."


AGENCY PROGRAM: Federal Government agencies publish in the Federal Register descriptions of or revisions to their Privacy Act systems in compliance with the Privacy Act of 1974 (5 U.S.C. 552a)


AVAILABILITY:
Resource: Privacy Act Issuances, 1993 Compilation Online via GPO Access


Distributor:
Name: Superintendent of Documents U.S. Government Printing Office (GPO)
Address: Mail Stop SDE
City: Washington
State: DC
Zip Code: 20401
Country: USA
Network Address: help@eids05.eids.gpo.gov
Hours: 7:00 am - 5:00 on easten time M-F
Telephone: 202 512-1530
Fax: 202 512-1262


Order Process: Available through the Internet free of charge or through dial-up access. There is no charge for using the phone line, but you may incur long distance charges.


Technical Prerequisites: Access to Internet and an http browser or telnet or WAIS client or access to a modem and telephone line.


Linkage: http://www.access.gpo.gov/su_docs/aces/PrivacyAct.html
telnet://swais.access.gpo.gov (login as "guest")
wais://wais.access.gpo.gov
asynchronous: 202 512-1661 (login as "guest")
Linkage Type: Text/plain


AVAILABILITY:
Resource: Privacy Act Issuances, 1993 Compilation CD-ROM (stock no. 069-000-00059)


Distributor:
Name: New Orders Superintendent of Documents U.S. Government Printing Office (GPO)
Address: PO Box 371954
City: Pittsburgh
State: PA
Zip Code: 15250-7954
Country: USA
Network Address: No network address
Telephone: 202 512-1800
Fax: 202 512-2230
Hours: 7.00 am - 5:00 pm eastern time M-F


Order Process: The CD-ROM is available on one disk for $28.00. All orders must be prepaid. Methods of payment include check, money order, GPO Deposit Account, VISA, or MasterCard.


AVAILABILITY:
Resource: The Federal Register Online via GPO Access (for information post-1993)


Distributor:
Name: Superintendent of Documents U.S. Government Printing Office (GPO)
Address: Mail Stop SDE
City: Washington
State: DC
Zip Code: 20401
Country: USA
Network Address: help@eids05.eids.gpo.gov
Telephone: 202 512-1530
Fax: 202 512-1262
Hours: 7.00 am - 5:00 pm eastern time M-F


Order Process: To identify Privacy Act systems developed or revised since December 1993, one must search the Federal Register volumes 59 (1994) and 60 (1995). These volumes of the Federal Register are available through the Internet free of charge or through dial-up access. (They are also available in paper and microfiche, see availability statement below). There is no charge for using the phone line, but you may incur long distance charges.


Technical Prerequisites: Access to Internet and an http browser or telnet or WAIS client or access to a modem and telephone line.


Linkage: http://www.access.gpo.gov/su_docs/aces/aaces002.html
telnet://swais.access.gpo.gov (login as "guest")
wais://wais.access.gpo.gov
asynchronous: 202 512-1661 (login as "guest")
Linkage Type: Text/plain
Linkage Type: application/pdf


AVAILABILITY:
Resource: The Federal Register in Print and Microfilm


Distributor:
Name: New Orders Superintendent of Documents U.S. Government Printing Office (GPO)
Address: PO Box 371954
City: Pittsburgh
State: PA
Zip Code: 15250-7954
Country: USA
Network Address: No network address
Telephone: 202 512-1800
Fax: 202 512-2230
Hours: 7.00 am - 5:00 pm eastern time M-F
Order Process: To identify Privacy Act systems developed or revised since December 1993, one must search the Federal Register volumes 59 (1994) and 60 (1995). The Federal Register is available in paper, microfiche, and two volumes are available online (see availability statement above). All orders must be prepaid. Methods of payment include check, money order, GPO Deposit Account, VISA, or MasterCard.


SOURCES OF DATA: Compiled and edited by the Office of the Federal Register using submissions of the agencies, bureaus, and departments of the Federal government.


ACCESS CONSTRAINTS: Unrestricted. The Privacy Act Issuances, 1993 Compilation is unrestricted. The Privacy Act system of records that are described in the compilation generally are restricted under the Privacy Act.


USE CONSTRAINTS: Unrestricted. The Privacy Act Issuances, 1993 Compilation has no use constraints. The Privacy Act systems of records that are described in the compilation generally may have use constraints.


POINT OF CONTACT FOR FURTHER INFORMATION:
Name: Privacy Act Office
Street Address: 450 5th Street, NW
City: Washington
State: DC
Zip Code: 20549
Country: USA
Network Address:
Hours of Service: 9:00 a.m. - 5:30 p.m.
Telephone: 202 942-4320
Fax: 202 942-9633


SUPPLEMENTAL INFORMATION:
Schedule Number: Not applicable
CONTROL IDENTIFIER: PA0001
RECORD SOURCE:
Department/Agency Name: Securities and Exchange Commission
Name of Division/Office: Privacy Act Office
DATE OF LAST MODIFICATION: 1996/9/30