AGENCY: Department of Financial Institutions

SERIES: 81349
TITLE: Issuer's application for registration to sell securities
DATES: 1981-2025.
ARRANGEMENT: Alphabetical by name

DESCRIPTION: The department in accordance with state law requires the registration of any person/corporation desiring to sell securities. These registrants must also provide information regarding the nature of the security to be sold and the financial condition of the seller. The information recorded includes date, name and address of issuer, type of institution, contact person, agent or underwriter, transfer agent, description of securities to be offered, amount of commission to be paid, number of shares authorized by articles of incorporation, purpose of sale, signature and title of applicant.

RETENTION

Retain for 3 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 3 years after expiration and then destroy.

APPRAISAL

Administrative

This retention is based on 12 CFR 12.3.

PRIMARY DESIGNATION

Private

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