AGENCY: Department of Commerce. Division of Securities

SERIES: 13979
TITLE: Shareholder files
DATES: 1981-2013.
ARRANGEMENT: none

DESCRIPTION: This series contains confidential reports disclosing ownership and interests in companies. The names and addresses of shareholders, ownership percentages or number of stocks held, and other interests are in these files often in the form of a list. Some files also include power of attorney documentation, client earnings reports, business trust forms, various court documents, notices of securities offerings and circulars, share holders reports, and business prospectuses.

RETENTION

Retain for 6 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

These records are in Archives' permanent custody.

AUTHORIZED: 06/14/2011

FORMAT MANAGEMENT

Microfilm master: Retain in Archives for 6 years and then destroy.

Microfilm duplicate: Retain in Archives for 6 years and then destroy.

APPRAISAL

Fiscal Legal

Per the Securities Exchange Act of 1934 Rule 17AD-7 Records Retention, the longest period of time that securities records need to be kept is six years.

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