AGENCY: Department of Commerce. Division of Securities

SERIES: 80736
TITLE: Broker-dealer card file
DATES: 1925-
ARRANGEMENT: Alphabetical by name

DESCRIPTION: This is a card file used as an index and as a quick reference to the Broker-Dealers currently and formerly registered in the state. This file includes the business name, address, date the application was filled out, the bond date, the registration date, the name of the corporate officer, and a record of activities including complaints against them (gives date filed, who filed it, and the reason for the complaint and the disposition).

This record is not in paper format after 1988. It is in the computer data file.

RETENTION

Retain permanently

DISPOSITION

May Transfer to Archives.

RETENTION AND DISPOSITION AUTHORIZATION

These records are in Archives' permanent custody.

APPROVED: 06/1987

FORMAT MANAGEMENT

Paper: Retain in Office permanently.

APPRAISAL

Administrative

Retention of this record will allow the office to maintain a permanent record of all the broker-dealers registered in the state.

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