economic research in corporate liquidity. Additionally, aggregate data are made available to the Federal Reserve Board. Information for this system is collected on a sampling basis only. Since there is no statutory requirement to file, the information may not be complete. The data file was established beginning with the 4th quarter of 1969, and is updated quarterly. The data contained on the data file maintained by this system is derived from the Form R-1a: Survey of Liquid Assets. The computer file maintained by this system contains a unique record for each respondent to a Form R-1a questionnaire. Each record contains 21 data items involving asset, liability and credit information. The system produces quarterly reports facilitating analysis of data for current quarter and previous quarter.

S05300-030

National Association of Securities Dealers Form Q Reports System (NSD).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The National Association of Security Dealers (NASD) quarterly report system (NSD) maintains a data file of broker-dealer financial data filed with the NASD by its members on NASD form Q. The data are used to assist the staff in performing economic analysis of the brokerage industry. This system was created in October 1973. Data are available beginning with the first quarter of 1971. The data contained on the computer file for this system is obtained in magnetic tape format from the NASD. Each record contains a data field for each of the 50 line items and respective sub-items for a total of approximately 300 separate data items categorized as follows: Broker classification; Allowable assets in computation of net capital; Non-Allowable assets in computation of net capital; Liabilities included in aggregate indebtedness; Liabilities not included in aggregate indebtedness; Net capital summary; Operational report; Reserve requirement under SEC Rule 15c3-3 of the 1934 Act; Intra-State offerings; and Fails to deliver. Nonrecurring reports and listings are produced from this system based on specific need.

S05300-031

New York Exchange Rule 384 System (NYS). Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Rule 384 data file system (NYS) incorporates data on New York Stock Exchange firms having transactions over $300,000 for a given week. This data file contains information on orders eligible for negotiated commission rates which are executed during the second full calendar week of each month. Data for this system are received quarterly and are available from the third quarter 1971 to the fourth quarter 1973. This data file is one of several data files received from the New York Stock Exchange in machine-readable tape format which contains data on the overall financial condition of NYSE member firms. The computer file maintained by this system contains a separate record for each reporting member firm. Each record incorporates 25 separate items of information including: volume, market value,

commission, security description, number of shares, market and trade data. Nonrecurring reports and listings are produced from this system based on specific need.

S05300-032

Pension Fund Monthly System (PFM).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Pension Fund Monthly (PFM) system was designed to collect and generate aggregate statistics on non-insured pension plans. The system processes estimated data concerning assets, acquisitions, disposals and net acquisition of common stock. The primary endproduct is a quarterly publication of statistics in the Statistical Bulletin Series. Individual pension plan information is non-public. Quarterly data are available for the 1964-present period; monthly data are available from October 1971 to the present. Data contained in the file for this system are derived from the Form R-4a: Report by Trustee-Agent on Private Non-insured Pension plans. The computer file maintained by this system contains a unique record for each respondent's report for a given month. Each record contains 42 unique items of information including asset type and activity data. The system produces quarterly reports reflecting aggregate statistics on reported items.

S05300-033

Periodic Payment Plan Certificates System (PPC). Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Periodic Payment Plan Certificates System (PPC) was designed to process data for investment companies which offer mutual fund payment plans to the public. The system generates reports showing pertinent data reported on quarterly reports, such as number of plans issued, number withdrawn, number of plans outstanding. These data statistics are presented in tabular format and categorized in year, quarter, item sequence. The data file contains information beginning with the fourth quarter 1971, and is updated quarterly. Data collected and processed by the system are submitted on the Form N-27D-2: Quarterly Report of Registered Investment Companies That Are Issuers of Periodic Payment Plan Certificates Subject to the Surrender Right of Section 27 (d) of the Investment Company Act of 1940. The computer data file for this system contains a unique record for each Form N-27D-2 filed. Each record contains a data field for each form item and various subitems. Each data record contains approximately 121 separate items of information including certificate description and issuance data. The system produces quarterly tabular reports showing number of plans filed.

S05300-034

Privately Placed Securities System (PPS).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Privately Placed Securities system (PPS) was designed to process data regarding issues privately placed by specific foreign and domestic companies and governments. Essentially this system maintains a master file of securities not registered under the Securities Act of 1933. Data for this system are requested quarterly for economic research purposes and submitted on a voluntary basis. Since there is no statutory requirement to file, the information available may not represent the entire universe of privately placed securities. The PPS system incorporates pertinent characteristics of each security to be sold. This system is used for special studies and analysis, and for preparing reports used by the Federal Reserve Board. Statistical compilations are also published in the 'Statistical Bulletin. The data file was created in July 1970, and is updated quarterly. The data are derived from a survey letter sent to certain insurance companies, and from various periodic reports. The computer file maintained by this system contains a record for each company which has issued private offerings. Each record contains 14 unique data items including: asset size, interest rate, industry, security type, takedown and maturity data. The system produces monthly reports listing itemized transactions and quarterly reports of new security offerings.

S05300-035

Quarterly Financial Report System (QFR).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Quarterly Financial Report system (QFR) was designed to process summary income and balance sheet data filed by manufacturing companies. This system is part of the Federal Government's general statistical program. The system is used primarily to produce aggregate statistics for internal studies and analysis. Data for this system are requested quarterly for economic survey purposes by the Federal Trade Commission. The data are received in magnetic tape machine-readable format from the Federal Trade Commission. The computer file maintained by this system consists of aggregate data received on a quarterly basis. There are 37 major items of information including: revenue, income, tax, gain and loss, dividend, capital stock, working capital and equity data. Nonrecurring reports and listings are produced from this system based on specific need.

S05300-036

Third Market Notifications System (TMN). Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Third Market Notifications system (TMN) was designed to process data on broker-dealers who commenced or ceased to make a market in a common stock. Basically, the system provides identification of brokerdealers making off-board markets in common stocks traded on exchanges as well as summaries of over-thecounter (OTC) stocks traded on the NYSE. This system provides data for analysis of market regulatory activities in connection with market oversight responsibilities of the Commission. This system is related to the Third Market Transactions system (XSN) which provides Rule

17a-9 OTC market data. The system was implemented in April 1968, and is updated quarterly. Data are available beginning with the 1st quarter 1968. Data are derived from the Form X-17A-9 (1): Notification by Market Makers in Common Stocks Traded on National Securities Exchanges. The computer data file maintained by this system contains a unique record for each broker-dealer engaged in market making activity. Each record contains 8 data items of information including: name of brokerdealer, commencement date, cessation date and exchange identification data. The system produces quarterly reports reflecting active and inactive lists of broker. dealers and common stocks in third market notifications.

S05300-037

Transaction Revenue Study System (TRS).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Transaction Revenue Study system (TRS) consists of a data file of approximately 100 New York Stock Exchange member firms. The data file incorporates revenue information and is used primarily in conducting and analyzing data for revenue studies. The data for this system are submitted on a staggered basis; 20 member firms report monthly, the other member firms report on a rotating basis. The Transaction Revenue data file is one of several files received in machine-readable tape format from the New York Stock Exchange which contain data on the overall financial condition of NYSE member firms. The data file maintained by this system contains 18 separate items of data for each record including: type of firm, customer type, type of account, market, commission and service charge information. Nonrecurring reports are produced from this system based on specific need.

S05300-038

Repeal of Section 22d Study System (TTD).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

This data file was created to facilitate a special study on the repeal of Section 22 (d) of the Investment Company Act and its potential impact on the mutual fund industry. This project was conducted in conjunction with a related study undertaken by the National Association of Securities Dealers. The universe of information consists of quantitative data received on special questionnaire forms sent to selected respondents which included 250 open-end companies, 600 broker-dealers and 70 principal underwriters. The study was conducted in May 1971. The computer data file for this system contains a separate record for each respondent. In total, there are approximately 2,700 unique items of information. Nonrecurring reports are produced from this system based on specific need.

S05300-039

Working Capital Data System (WCD).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Working Capital Data System maintains a data file containing current asset and liability information on a universe of approximately 1,500 non-financial U. S. companies (manufacturing type firms are excluded). Data are received and calculated to estimate the working capital position of these corporations. The system also provides for statistical analysis of long-term debt categorized by industry. The data file was created in July 1968 and is updated quarterly. Data for this system are requested quarterly for economic survey purposes and submitted on a voluntary basis. Since there is no statutory requirement to file, the information available may not represent the entire universe for such companies. The data contained in the data file for this system are derived from the Form R-2: Quarterly Report on Working Capital and Long-Term Debt. The computer file maintained by this system contains a record for each reporting corporation. Each record contains 15 unique items of information including: cash, asset, liability, tax, inventory, debt, receivable, industry and size data. This system produces quarterly reports reflecting working capital by industry group and by comparing current and previous quarter entries.

S05300-040

Third Market Transactions System (XSN).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The Third Market Transactions System (XSN) was designed to process third market transaction data submitted pursuant to the requirements of rule 17a-9 of the Securities Exchange Act of 1934. As required by rule 17a-9, Form X17A-9 is filed by each broker-dealer who is a market maker in a common stock listed on the New York and other stock exchanges. The system compiles such data as stock totals, broker-dealer totals, money and share volume on purchases and sales for a given stock. The XSN system also provides data for the Management Investment Company Quarterly Reports System (NIQ) which is used for analysis of investment company portfolio activity. The system was implemented in April 1967. Data are available beginning with the 3rd quarter 1967. However, data from 1967 thru 1970 is incomplete. The data file is updated quarterly, and is derived from reports of transactions by market makers and broker-dealers. The computer data file maintained by this system contains a unique record for each market maker reported on Form X-17A-9. Each record contains 12 unique data items of information including: dollar volume, purchases, sales, exchange and share volumes. The system produces regularly scheduled quarterly reports reflecting broker-dealer activity and share volumes by stock.

S05300-041

Over-the-Counter (OTC) Notification System (XST). Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

The OTC Notification System (XST) is designed to process pertinent data on market makers in OTC margin

securities. These data are filed by OTC market makers pursuant to Rule 17a-12 of the Securities Exchange Act of 1934. The system produces summary and detail listings sequenced by security and brokers who are making markets in such securities. Data submitted pursuant to rule 17a-12 are used in conjunction with data furnished by the National Quotation Bureau (NQB). The system generates listings and reports which are used to materially assist in Commission surveillance functions. Additionally, information is sent to the Federal Reserve Board on a quarterly basis. The system was implemented in July 1969. The data file is updated on a quarterly basis, and is derived from notifications by OTC market makers in OTC margin securities, and NQB data tapes. The computer file maintained by this system contains a unique record for each broker-dealer who reported on Form X17a-12(1). Each record contains 8 unique items of information identified as follows: Broker-Dealer, commence date, cessation date, CUSIP number, file number, NQB number, name of security, and withdrawn code. The system produces regularly scheduled quarterly reports listing activity of broker-dealers and listings by security of active market makers.

S05309-001

Directory of Companies Filing Annual Reports with the Securities and Exchange Commission, under the Securities Exchange Act of 1934. Office of Registrations and Reports, SEC. June 30, 1974. 439 pp.

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Public Availability: GPO, Stock No. 4600-00097, $4.20. Agency Contact: Ralph L. Bell, Director, Office of Data Processing. 755-1152.

This report makes available a listing of 9,996 companies filing annual reports with the Securities and Exchange Commission (SEC) as of June 30, 1974. The directory includes companies with securities listed on national securities exchanges, companies with securities traded over the counter which are registered under section 12(g) of the Securities Exchange Act, and certain companies filing pursuant to section 15(d) of the Securities Exchange Act as a result of having securities registered under the Securities Act of 1933. Indication of filing provision is provided by a prefix to the Docket Number: '12(g)' companies by 0-, 15(d)' companies by 2-, and companies listed on exchanges by 1. The companies are presented alphabetically and by industry classification. Industry groups are based on the Enterprise Standard Industrial Classification developed by the Office of Management and Budget. The organization or unit classified consists of the company and all subsidiaries included in the consolidated financial statements submitted to the SEC. Each company was classified on the basis of its major activity as determined by the product or group of products produced or handled, or services rendered, as reflected by the gross revenue of the company.

Selective Service System

S05400-001

Automated Accounting System.

Budget Function/Subfunction: Defense-related activities (054).

Agency Contact: C. E. Boston, Office of the Director. 3437117.

This system contains several categories of fiscal data used exclusively within the agency. No information produced by the system is distributed outside the agency, although data are extracted from the output printouts and used to prepare reports sent outside the agency, such as the SF-224, Statement of Transactions, sent to the Treasury Department. The sources of input data are warrants, allotments, obligating documents, invoices, schedules of payments, computer tapes from the automated payroll system and journal vouchers. The two major output products of the system are the Financial Plan and the Budget Activity Report. The Financial Plan is the basic financial management report for monitoring the status of funds throughout the fiscal year. The report is monthly except that at critical times, e.g., near the year end, it is available on demand. This report contains a detailed list by cost center, major object class and sub-object class of allotments, obligations, unobligated balances and disbursements. It also contains an agency-wide consolidated listing and shows the total allotments to date, reimbursements earned and total obligational authority. The Budget Activity Report accumulates cost information for monitoring the utilization of appropriated funds in accordance with program levels established by the Congress. The report is quarterly, but also can be produced on demand. The major subdivisions of this report are the six budget activities in the appropriation structure of the agency. Data are accumulated under each activity by major object class and subobject class and are displayed in the form of amounts of obligations, accrued expenditures and disbursements.

S05400-002

The Registrant Information Bank System (RIB). Budget Function/Subfunction: Defense-related activities (054).

Agency Contact: C. E. Boston, Office of the Director. 3437117.

The primary purpose of the RIB system is to serve and assist the local boards and operations managers. Accordingly, the system is concerned with assembling, editing and processing registrant data received from the field. The results of these operations are returned to the field via established RIB reports. The system maintains a unique record for each local board registrant. Each record contains those items of information which describe a registrant's current status; i.e., selective service number (SSN), name, address, date of birth, SSAN, random sequence number (RSN), physical characteristics, extended liability, previous examination, procedural rights, and examination or induction status. In addition, the system identifies the local board which currently has permanent custody of a registrant's file. The RIB system generates a number of output reports for use by local boards and other administrators, such as: (1) The Classification Summary-By-Year Group: These are RIB reports which provide the local boards, state headquarters and national headquarters with trends in registration and classification, by age groups, for registrants whose records are established in RIB. (2) The Report of Medical Specialists: This report identifies medical specialists registrants of the local board for whom records have been established in RIB through the as-of-date listed on the report. The report is periodically

furnished to the local board when needed to process the registrants for classification, examination and induction. (3) The RSN Statistical Report (State): This is an annual RIB report prepared following the lottery drawing which indicates to the state headquarters the number of registrants, combined for all its local boards, within a particular RSN and the cumulative number of registrants up to and including a particular RSN. This report is a summary of the Registrant RSN Report by SSN furnished to the local boards. (4) Summary of Processing Delays: This is a monthly RIB report which indicates to the state headquarters, based on information in RIB, the number of possible processing delays, by category, for each of the state's local boards. Each delay is measured up to the date of report. This report is a summary of the Agenda of Processing Delays report that is issued to the local boards for the same reporting period.

S05404-001

SSS Reserve and National Guard Personnel Records and Related Files System.

Budget Function/Subfunction: Defense-related activities (054).

Agency Contact: C. E. Boston, Office of the Director. 3437117.

This system contains data on currently assigned officers and warrant officers of the Reserve and National Guard assigned to the Selective Service, and former officers and warrant officers. System records contain a variety of information relating to selection, placement and utilization of military personnel. The records also contain information about members such as name, rank, social security account number, date of birth, physical profile, resider.ce and business addresses, and telephone numbers. Information is also recorded on unit of assignment, occupational codes and data pertaining to training, cost factors, efficiency ratings and mobilization assignments and duties, and other information relating to the status of the member. Information in these records may be used by agency officials for purposes of review in connection with appointments, assignments, promotions and determination of qualifications of individuals. The system provides statistical reports to management and the member's Branch of Service for the administration of the Reserve Forces Program of the Selective Service. Information may also be used to respond to general requests for statistical information or specific individual requests under the Freedom of Information Act, and as a locator file.

Small Business Administration

S05500-001

SBA Management Information Summary Report. Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Herbert T. Mills, Acting Assistant Administrator for Administration. 382-6805.

This monthly publication presents significant information for overall management evaluation. It includes national summary highlights on all loan programs for current and past fiscal year, status of loan portfolio, loanmaking by category and other outputs, loan applications pending at end of month, comparison of loan

approvals FY to date, status report of procurement and management assistance, percentages of trouble loans and accounts by programs by month (SBA dollars), investment division activities, Small Business Investment Company data, and status report on prime contracts. Similar information is included for regional offices.

S05500-002

SBA Lease Guarantee and Loan Accounting (System). Budget. Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Herbert T. Mills, Acting Assistant Administrator for Administration. 382-6805.

Data files are maintained on lease guarantees and loans to small business. Lease guarantees permit small businesses to obtain the use of premises in cases where their credit rating might not otherwise justify it. Data elements include amount of rent guaranteed by calendar period and the status of guarantees. Data collected on loans include: loan program and type, geographical location, SIC code, name of borrower, and amount approved and disbursed. Periodic reports are prepared summarizing the status of loan activities.

S05500-003

SBA Procurement Activities (Data).

Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Herbert T. Mills, Acting Assistant Administrator for Administration. 382-6805.

Information is collected and reports are prepared to indicate the level of activity in SBA programs designed to help small businesses obtain Federal contracts. The data identify the procuring agency, the nature and amount of the contract, name and address of the company and the status of the contract. Minority firms are identified. Cases that involve an SBA review and the issuance of a Certificate of Competency are also described.

S05500-004

SBIC and MESBIC Financial Data (System). Budget Function/Subfunction: Other advancement and regulation of commerce (403).

Agency Contact: Herbert T. Mills, Acting Assistant Administrator for Administration. 382-6805.

Statistical information is collected regularly from Small Business Investment Companies (SBIC) and Minority Enterprise SBIC's (MESBIC's). Periodic reports are prepared that summarize financial data and provide indicators of the level of activity.

Smithsonian Institution

S05600-001

Natural History Information Retrieval System.

Budget Function/Subfunction: Research and general education aids (503).

Agency Contact: James F. Millo, Assistant to the Director, National Museum of Natural History. 381-5191.

The data bank of the system contains specimen and bibliographic records in the fields of natural history that pertain to the important biological and geological collections of the museum. Information is entered on specimens mentioned in scientific literature and cataloged for current research projects. The NHIR data base contains over 100,000 specimen records.

S05600-002

Catalog of American Portraits.

Budget Function/Subfunction: Research and general education aids (503).

Agency Contact: Wilford P. Cole, Keeper, Catalog of American Portraits. 381-5681.

The Catalog of American Portraits includes information about portraits of and by Americans from all periods of history. Biographical data that describe artists and subjects are collected and organized so as to be accessible for research. Details of individual portraits, such as the medium of the work and the history of ownership, are also retained in the file. The catalog contains over 200,000 records of portraits, literary references, and graphics.

S05600-003

Smithsonian Science Information Exchange, Inc. Budget Function/Subfunction: Research and general education aids (503).

Agency Contact: David F. Hersey, Director. 381-5511.

The Smithsonian Science Information Exchange, Inc. provides for the national research community a comprehensive, computerized source of prepublication information about research programs that are planned or actually in progress in the biomedical, social, behavioral, physical, and engineering sciences. The Exchange, located at 1730 M Street, N.W., in downtown Washing. ton, was founded in 1948 by a number of Federal agencies for the purpose of coordination and communication in research programming. The number of participating agencies has grown steadily through the years. Most federal research programs, as well as those of a substantial number of private foundations, professional organizations, industries, and local governments are now included. Both Federal and nonfederal users pay a nominal fee for services. Approximately 100,000 notices of research projects are received and processed annually. These records in most cases are prepared by principal investigators and updated each year. Registration of foreign research is limited but growing. Each record fed into the Exchange's computer data bank contains a brief technical summary of the program in question together with other essential information: principal investigators, where the work is taking place, pertinent dates, and sources of support. The subjects of research recorded in this continually updated system cover basic and applied work across a full spectrum of subjects: nuclear fuel technology, oceanography, public health, highway technology, linguistics, crime and delinquency, agriculture, and wild-life conservation. The current file, which covers the past two Government fiscal years, contains records on more than 200,000 ongoing or recently completed projects. Services offered include searches of the file by technical subject field, performing or funding organization and compilations that indicate the amount of funding by year.