AGENCY: Department of Commerce. Division of Securities

SERIES: 80732
TITLE: Registration hearing files
DATES: 1982-
ARRANGEMENT: Numerical by case number

DESCRIPTION: These files document hearings in which the division has issued a stop order during the registration process to suspend or revoke any security registration statement. The Division of Securities may take this action if the Securities Advisory Board judges it to be in the public interest, there is evidence of code violation, the security is the subject of an administrative stop order, or the applicant fails to pay the proper filing fee. (UCA_61-1-12_(1993)). Information includes subpoena, memoranda in support of revocation of registration statement, supplemental memoranda, response memoranda in opposition from notice of continuance, order suspending effectiveness of registration, certificate of mailing, findings of fact, conclusions of law, and recommended order.

RETENTION

Retain for 6 year(s) after case is closed

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

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

APPROVED: 11/1993

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year after case is closed and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

APPRAISAL

Administrative

PRIMARY DESIGNATION

Public

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