AGENCY: Department of Commerce. Division of Securities

SERIES: 80733
TITLE: Secondary trading exemptions
DATES: 1980-
ARRANGEMENT: Alphabetical by surname

DESCRIPTION: These records document secondary trading exemptions, financial information, and certified public accountant reports on the use of proceeds from sales of security transactions exempted from registration requirements as outlined in UCA 61-1-14 (1993). Exemptions granted include securities guaranteed by the United States or Canadian governments, banks, savings institutions, or trust companies organized under the laws of the United States or Utah. In addition, securities issued or guaranteed by any railroad, public utility, or holding company subject to the jurisdiction of the interstate commerce commission are also included.

RETENTION

Retain for 7 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

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

APPROVED: 08/1996

FORMAT MANAGEMENT

Paper: Retain in Office for 2 years after the company becomes dormant and then transfer to State Records Center. Retain in State Records Center for 5 years and then destroy.

Microfilm master: Retain in Archives for 7 years and then destroy.

Microfilm duplicate: Retain in Archives for 7 years and then destroy.

APPRAISAL

Administrative

This disposition is based on the administrative needs expressed by the agency.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

Private. UCA 63G-2-302 (2008)

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