AGENCY: Department of Financial Institutions

SERIES: 81348
TITLE: Holding companies registration files
DATES: 1981-
ARRANGEMENT: Alphabetical by name

DESCRIPTION: Registrations filed by financial institution holding companies to register

annually with the department. Registration materials are reviewed by the department

for discrepancies, improprieties, and other problems and are an agency reference tool

for information about the company. These files include name and address of company,

names and addresses of companies controlled by holding company, percentage of

control, a certified copy of the company financial statement, the names, addresses and

occupation of each registrant on the form, a list of stockholders owning more than 5% of

the company and an affidavit attesting to the correctness of the data.

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 after expiration and then destroy.

Computer data files: Retain in Office for 4 years and then delete.

APPRAISAL

Administrative Legal

This retention is based in part on 12 CFR 12.3.

PRIMARY DESIGNATION

Private. Utah Code 7-1-802

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