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在上海证券交易所、深圳证券交易所挂牌交易以来的十年多时间里,我国的证券市场逐步趋向繁荣和成熟。与此同时,证券行业中,特别是证券公司在其经营管理活动中形成了大量的档案。《中华人民共和国征券法》第一百三十九条的规定:“证券公司办理经纪业务,应当置备统一制定的证券买卖委托书供委托人使用,采取其他委托方式的,必须作出委托记录,客户的证券买卖委托,不论是否成交,其委托记录应当按现定的期限保存于证券公司。”笔者通过调研发现,证券公司对其形成的档案（本文主要探讨的是传统的纸质档案）管理很不慎重,而且目前无论是金融证券界还是档案界都忽视了这一问题。本文通过对相关问题的探讨,以期引起有关部门的重视。
In the more than ten years since the Shanghai Stock Exchange and the Shenzhen Stock Exchange have been listed and traded, the securities market in our country has gradually become prosperous and mature. At the same time, the securities industry, especially the securities companies, have formed a large number of files in their management activities. Article 139 of the “Law of the People’s Republic of China on the Levy of Securities” stipulates: “Where a securities firm handles brokerage business, it shall prepare a uniform power of attorney for securities purchase and sale for its use by the client and take other forms of entrustment, Client’s securities trading commission, regardless of whether the transaction, the commission records should be kept in the current period of the securities firm. ”The author found through the investigation, the securities company formed the file (this paper mainly discusses the traditional paper file management) It is not careful, and now the financial securities industry or the file industry are ignored this issue. This article through the discussion of relevant issues, with a view to causing the relevant departments to pay attention.