AGENCY: Department of Commerce. Division of Securities

SERIES: 24583
TITLE: Primary audit files
DATES: 1999-
ARRANGEMENT: Alphabetical by case name.

DESCRIPTION: These audit files contain information obtained from broker-dealers and agents, investment advisers and investment adviser representatives, as a result of a securities audit. These are the primary audit files which contain the audit reports and exhibits used in the case against the individual or company. These files may include client account information, correspondence, memoranda, trade blotters, ledgers, ledger accounts, trade confirmations, buy and sell tickets, new account information, cash and margin account documentation, employee records, employee licensing history, customer complaints and other like business documents.

RETENTION

Retain for 10 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

Retention and disposition for this series were specifically approved by the State Records Committee.

APPROVED: 02/2003

FORMAT MANAGEMENT

Paper: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 7 years and then destroy.

Audio cassettes: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 7 years and then destroy.

Video recordings master: Retain in Office for 3 years and then transfer to State Records Center. Retain in State Records Center for 7 years and then destroy.

APPRAISAL

Administrative Fiscal Legal

These records contain information used in auditing and investigating companies for their compliance with securities regulations.

PRIMARY DESIGNATION

Protected. UCA 63G-2-305(9)(e)

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