AGENCY: Department of Commerce. Division of Securities

SERIES: 80729
TITLE: Investigation case files
DATES: 1967-
ARRANGEMENT: Alphabetical by surname

DESCRIPTION: This is the record of investigations conducted by the division under the authority of Utah Code 61-1-19(2009) of alleged violations of the Utah Uniform Securities Act. These files include complaints, subpoenas, financial records, copies of securities filings, and working papers of investigators.

RETENTION

Retain for 50 year(s) after case is closed

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

These records are in Archives' permanent custody.

APPROVED: 01/2014

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after the investigation is closed and then transfer to State Records Center. Retain in State Records Center for 48 years and then destroy.

APPRAISAL

Administrative

Retention of these records will allow the state to maintain background information on subsequent investigations as well as allow for additional information to turn up in cases where insufficient evidence exists.

PRIMARY DESIGNATION

Protected. Utah Code 63G-2-305(2013)

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