AGENCY: Department of Commerce. Division of Securities

SERIES: 80754
TITLE: Administrative files and correspondence
DATES: 1969-
ARRANGEMENT: Chronological thereunder alphabetical by firm or individual name

DESCRIPTION: These records document administrative actions taken by the division. They contain sectional correspondence about policies, programs, filings, and certificates. Included are administrative orders, orders to show cause, stipulation and consent, records of fines, and all related correspondence. Until 2010, these records were titled "Administrative correspondence." Personal Identifying Information (PII) that may be contained within Division administrative files and correspondence: name, DOB, phone number, home address, criminal records, financial documents. Purpose for which Administrative Files and Correspondence is Collected: The Division collects administrative files and correspondence to meet its statutory requirements for orders to show cause, stipulation and consent agreements, and other administrative filings.

RETENTION

Permanent. Retain for 50 year(s) after case is closed

DISPOSITION

Transfer to Archives.

RETENTION AND DISPOSITION AUTHORIZATION

Retention and disposition for this series is authorized by Archives general schedule Open meeting minutes & supplementary materials, GRS-1709

AUTHORIZED: 06/29/2018

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 49 years and then transfer to State Archives with authority to weed.

Computer data files: Retain in Office permanently.

APPRAISAL

Administrative

These records document the administrative actions of the division and contain sectional correspondence to approve filings and certificates.

PRIMARY DESIGNATION

Public

SECONDARY DESIGNATION

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

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