AGENCY: Department of Commerce. Division of Securities

SERIES: 24584
TITLE: Audit work files
DATES: 1999-
ARRANGEMENT: Alphabetical by case name.

DESCRIPTION: These files contain information obtained from broker-dealers and agents, investment advisers and investment adviser representatives, during securities audits. This information is compiled in order to create audit reports and exhibits. These files contain supporting documentation for administrative and civil securities cases.

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 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.

Audio cassettes: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.

Video recordings master: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 9 years and then destroy.

APPRAISAL

Administrative Fiscal Legal

PRIMARY DESIGNATION

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

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