AGENCY: Department of Commerce. Division of Securities

SERIES: 80735
TITLE: Uniform limited offering exemption files
DATES: 1982-
ARRANGEMENT: Alphabetical by company name, thereunder chronological

DESCRIPTION: These files document private offerings exempted from registration with the Securities and Exchange Commission. These are limited to 35 or fewer investors. Information includes Notice of Sales of Securities Pursuant to Regulation D or Section 4(6), correspondence, final sales report, corporate name and address, employer identification number, and the issuer's business. Personal Identifying Information (PII) that may be contained within Division uniform limited offering exemptions: issuer name, phone number, business address, email address, financial information, CPA reports. Purpose for which Uniform Limited Offering Exemptions is Collected: The Division collects uniform limited offering exemptions to comply with state and federal statute.

RETENTION

Retain for 4 year(s) after resolution of issue

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 1 year after the offering is closed and then transfer to State Records Center. Retain in State Records Center for 3 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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