AGENCY: Department of Financial Institutions

SERIES: 81342
TITLE: Applications: depository institutions
DATES: 1981-
ARRANGEMENT: Alphabetical by name of institution

DESCRIPTION: Applications files as required by Title 7 to: establish and engage in

business as a state-chartered depository institution (7-1-701, 7-1-704); acquire control

of a state-chartered depository institution or its holding company (7-1-703); acquire or

assume certain assets and liabilities of a state-chartered depository institution (7-1-703);

establish, relocate, or close branches (7-1-708, 7-1-709); relocate a main office (7-1-

501); convert a charter to a different class of institution (7-1-713). Also, applications

filed by issuers for registration to sell securities, pursuant to 7-1-301 and 7-1-503.

These actions require the approval of the Department of Financial Institutions. These

applications include articles of incorporation, charters, historical background of the

individual(s) or corporation, names and addresses of organizers/filers/control parties,

lists of stockholders and other ownership details, financial status of the corporation or

individual(s), proprietary business plans and forecasts, and related correspondence.

Some application types above also include non-public personally identifiable information

on individuals, including personal financial information and confidential disclosures of

criminal history.

RETENTION

Retain for 4 year(s)

DISPOSITION

Destroy.

RETENTION AND DISPOSITION AUTHORIZATION

These records are in Archives' permanent custody.

APPROVED: 06/1987

FORMAT MANAGEMENT

Paper: Retain in Office for 4 years and then transfer legal documents to legal incorporation.

Computer data files: Retain in Office for 4 years.

APPRAISAL

Administrative Legal

This appraisal is based on administrative need and UCA 76-1-302.

PRIMARY DESIGNATION

Private

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