Record Securities Headquarters
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Record Securities
- https://recordsecurities.com/
- Let Record Securities eliminate your file cabinets and storage rooms through document imaging. Track and Manage. Need space and don't know what to do with your records? Let Record Securities track and manage them for you! Media Storage. How much is your business critical data worth? Are you prepared for a disaster?
Contacts Record Securities
- https://recordsecurities.com/contacts/
- Contact info Record Securities 2825 Mt. Pleasant St. Suite #30 Burlington, IA 52601 Telephone: +1 319-753-5580 E-mail: [email protected]
About Record Securities
- https://recordsecurities.com/about/
- Record Securities is a Corporation and Iowa Targeted Small Business, owned and operated by Lynn Egan. In September 1998, Record Securities opened its doors to provide services to Burlington and Southeast Iowa businesses, professional firms and educational institutions in need of records storage and management.
Records of the Securities and Exchange Commission [SEC ...
- https://www.archives.gov/research/guide-fed-records/groups/266.html
- Aug 15, 2016 · Textual Records: Numbered case files containing registration statements filed by broker-dealers and securities exchanges in accordance with sections 12 and 13 of the Securities Exchange Act of 1934 and pertinent sections of the Securities Acts Amendments of 1964, and related correspondence, 1934-77 (1,613 ft.). Sample of investigative case ...Estimated Reading Time: 4 mins
SEC’s Records Management Practices
- https://www.sec.gov/files/505.pdf
- The Office of Records Management Services (ORMS) is responsible for coordinating, overseeing and implementing the U.S. Securities and Exchange Commission’s (SEC or Commission) records management program at its Headquarters, Operations Center, and 11 Regional Office locations.2ORMS and the Office of Security Services (OSS) are direct reporting units to the Office of Support Operations …
Securities and Exchange Commission National Archives
- https://www.archives.gov/research/electronic-records/sec.html
- May 21, 2021 · Electronic Records Reference Report Introduction Record Group 266: Records of the Securities and Exchange Commission Related Information Contact Us Introduction This reference report provides an overview of the electronic records of the Securities and Exchange Commission (SEC) in NARA's custody. Full descriptions of the series and data files listed in this report are in the
SEC.gov Contact the SEC
- https://www.sec.gov/contact-information/sec-directory
- Apr 17, 2017 · Office of Municipal Securities Rebecca Olsen, Director (202) 551-5680. Office of Public Affairs Scott Schneider, Director (202) 551-4120 [email protected]. Office of the Secretary Vanessa Countryman, Secretary (202) 551-5400. Office of Support Operations Olivier Girod, Acting Director/Acting Chief FOIA Officer (202) 551-8400
BrokerCheck - Find a broker, investment or financial advisor
- https://brokercheck.finra.org/Firm/Summary/35567
- The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms.Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.. State regulators are governed by their public records laws (not FINRA Rule 8312), and may ...
Books and Records FINRA.org
- https://www.finra.org/rules-guidance/key-topics/books-records
- Dec 21, 2016 · Section 17(a)(1) of the Securities Exchange Act of 1934 ("Exchange Act" or "SEA") requires registered broker-dealers to make, keep, furnish and disseminate records and reports prescribed by the Securities and Exchange Commission ("SEC").The SEC books and records rules applicable to broker-dealers, SEA Rules 17a-3 and 17a-4, specify minimum requirements with respect to the records …
Depository Trust & Clearing Corporation - Wikipedia
- https://en.wikipedia.org/wiki/Depository_Trust_%26_Clearing_Corporation
- The Depository Trust & Clearing Corporation (DTCC) is an American post-trade financial services company providing clearing and settlement services to the financial markets.It performs the exchange of securities on behalf of buyers and sellers and functions as a central securities depository by providing central custody of securities.. DTCC was established in 1999 as a holding company to ...
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