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Series Description

There are 3 Files for this series in AAD :
Proposed Sale of Securities (PSS), 1/4/1972 - 12/30/1993 (info) Search
Proposed Sale of Securities (PSS), 5/11/1994 - 9/30/1999 (info) Search
Proposed Sale of Securities (PSS), 1/3/1999 - 9/29/2000 (info) Search
Title: Records About the Proposed Sale of Unregistered Securities by Individuals, created, 1/4/1972 - 9/29/2000, documenting the period 1/4/1972 - 9/29/2000
Creator: Securities and Exchange Commission. Office of Registration and Reports. Branch of Ownership Reports. (ca. 1962 - ca. 2001) (Most Recent)
Type of Archival Materials: Textual Records
Data Files
Level of Description: Series from Record Group 266: Records of the Securities and Exchange Commission
Other Titles: Form 144 Data
Proposed Sale of Securities (PSS)
Location: National Archives at College Park - Electronic Records, National Archives at College Park, 8601 Adelphi Road, College Park, MD, 20740-6001. PHONE: 301-837-0470; FAX: 301-837-3681; EMAIL: cer@nara.gov
Inclusive Dates: 1/4/1972 - 9/29/2000
Coverage Dates: 1/4/1972 - 9/29/2000
Date Note: The series has few records for the year 1983, no records for the years 1986 and 1987, and additional years that may not be complete. The dates of the records are the dates that the agency received the Form 144.
Part of: Record Group 266: Records of the Securities and Exchange Commission
Function and Use: The agency created these files to contain data filed on Form 144, a notification to the agency of the owner's intent to resell unregistered securities. Form 144 stemmed from Rule 144 of the Securities and Exchange Act of 1933, and the Rule provided a mechanism for public resale of restricted and control securities as well as block sales of unregistered securities. The information on Form 144 assisted the agency in its regulatory and enforcement functions and in preventing and uncovering insider trading in securities by both corporations and stockholders. The agency also used the data to cross-reference and match it with data in other systems.
Scope & Content Note: This series has information on the security name; names of the issuer, seller, and broker-dealer; seller's relationship to the issuer; name of class of security to be sold; the number of shares or other units to be sold, their aggregate market value, and number of shares or other units outstanding; approximate date of proposed sale; stock exchange codes; date the securities were acquired and code for nature of the acquisition; and number of shares sold in previous six months.
Access Restrictions: Restricted - Partly. FOIA (b)(6) Personal Information. The series contains two restricted files, but public use versions are available for researchers.
General Note: The Securities and Exchange Commission removed the values in the "IRS Identification Number" and in the "Social Security or IRS Identification Number" fields in the Proposed Sale of Securities History File, 1972-1993 prior to the transfer of the records to NARA. The Securities and Exchange Commission did not remove the values in two similar fields when they transferred the May 11, 1994 - September 30, 1999 file and the January 3, 1999 - September 29, 2000 file to NARA. NARA has masked the values in the "IRS_IDENT" and "IRS_NO" fields for the May 11, 1994 - September 30, 1999 file and the values in the "ISSUER_IRS_NO" and "SELLER_IRS_NO" fields for the January 3, 1999 - September 29, 2000 file because each is a nine-digit field that might possibly contain Social Security numbers.
The staff of the Securities and Exchange Commission frequently refer to the records by the acronym for the system (PSS) or by the term Form 144 data.
Finding Aid Type: Technical Information
Finding Aid Source: NARA and Securities and Exchange Commission
Extent: 4 data files and 2 linear inches of paper documentation
Index Terms
  Subjects Represented in the Archival Material
    Control securities
Corporations
Insider trading in securities
Names, Personal
Restricted securities
Sales
Securities
Stockbrokers
Stockholders
Stocks

The U.S. National Archives and Records Administration
8601 Adelphi Road, College Park, MD 20740-6001
Telephone: 1-86-NARA-NARA or 1-866-272-6272