AGENCY: Department of Commerce. Division of Securities

SERIES: 80756
TITLE: Schedule of registration for agents, Schedule of broker-dealer registration, and issuer's list
DATES: 1977-2023.
ARRANGEMENT: Chronological

DESCRIPTION: These were lists that the Division compiled for distribution on request to members of the public and businesses. These lists are no longer compiled. This record series includes the broker-dealer's, agent's, or company name; the date of registration; the date of issue; the current status; and the type of issue.

RETENTION

Retain for 1 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

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

APPROVED: 06/1987

FORMAT MANAGEMENT

Paper: Retain in Office for 1 year and then destroy.

APPRAISAL

Administrative

This record is now obsolete and has no further administrative value.

PRIMARY DESIGNATION

Public. Schedule of Registration for Agents, Schedule of Broker/Dealer registration and Issuers List.

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