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| Series
| Entity No: "871"
Record Series of Utah Government
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Holdings: 0.20 cubic foot
Documents created by the agency, including pamphlets, reports, leaflets, file manuals, annual reports, other published or processed documents, and the last manuscript report, if not published, relating to management projects. Holdings include undated "The Utah ... Topics: Securities--Utah--Periodicals |
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A copy of prepared statements or announcements issued for distribution to the news media. A press release may be a textual record or a non-textual record such as a film or video sound recording.
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Series: 80747
Creator Information Other Records Produced by This Entity Total Retention: Permanent. Retain for 2 year(s) |
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Holdings: 2.00 cubic feet
This series consists of a register of securities issuers, which acts as a record of registration (UCA 1953 61-1-25[2008]). The typewritten pages record such information as case number, name of company, headquarters, total stock, securities offered, company officers, ... Topics: Securities--Utah. Registrations. |
Series: 811
Related Records (1) Creator Information Other Records Produced by This Entity Total Retention: |
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This series contains confidential reports disclosing ownership and interests in companies. The names and addresses of shareholders, ownership percentages or number of stocks held, and other interests are in these files often in the form of a list. Some files also ...
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Series: 13979
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) |
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Holdings: 1 microfilm reel
This series contains various files concerning the Koyle Mining Company (also called the Dream Mine) gathered over time by the Securities Division, especially in regards to information about the selling of stock in the company. Examples of records include correspondence, ... |
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These audit files contain information obtained from broker-dealers and agents, investment advisers and investment adviser representatives, as a result of a securities audit. These are the primary audit files which contain the audit reports and exhibits used in the case ...
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Series: 24583
Creator Information Other Records Produced by This Entity Total Retention: Retain for 10 year(s) |
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These records document the registration of securities sold in the State of Utah that are not subject to federal registration. Information includes financial audits; shareholders list; division closing letter; release of escrow; closing report; bank's report of escrow; ...
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Series: 80727
Creator Information Other Records Produced by This Entity Total Retention: Permanent. Retain for 10 year(s) |
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Complete work history of individual while employed by the State. Refer to UCA 67-18-1, et seq. When an employee transfers to another state agency, the official personnel file must be sent to the new agency.
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Series: 9607
Creator Information Other Records Produced by This Entity Total Retention: Retain for 65 year(s) after separation |
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This is a record of the registration of securities that are subject to federal registration. Registration of these securities is required by UCA 61-1-9. This record series includes certificate of registration; application for securities registration; consent to service ...
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Series: 80728
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) |
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These are documents filed with stock certificates placed in escrow with the Division of Securities pursuant to old rules no longer in effect. This series includes legal agreements and an Acceptance of Terms and Escrow Agreement. The Records Transfer Sheet (26 May 1988) ...
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These files document Unit Investment Trusts (UIT) registered with the Department of Commerce, Division of Securities. These records are created for the purpose of ensuring compliance with the Uniform Securities Act (UCA 61-1 thru 30 (1999).
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Series: 22622
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) |
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These files contain information obtained from broker-dealers and agents, investment advisers and investment adviser representatives, during securities audits. This information is compiled in order to create audit reports and exhibits. These files contain supporting ...
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Series: 24584
Creator Information Other Records Produced by This Entity Total Retention: Retain for 10 year(s) |
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These files document private offerings exempted from registration with the Securities and Exchange Commission. These are limited to 35 or fewer investors. Information includes Notice of Sales of Securities Pursuant to Regulation D or Section 4(6), correspondence, final ...
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Series: 80735
Creator Information Other Records Produced by This Entity Total Retention: Retain for 4 year(s) after resolution of issue |
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This is a finding aid and index to the files of registered sellers of securities. The information includes the agent's name, address, employer, date application filed, date registered, receipt number, license number, and the date the agent became inactive.After 1988 ...
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Series: 80739
Creator Information Other Records Produced by This Entity Total Retention: Retain permanently |
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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 ...
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Series: 80754
Creator Information Other Records Produced by This Entity Total Retention: Permanent. Retain for 50 year(s) after case is closed |
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These records document secondary trading exemptions, financial information, and certified public accountant reports on the use of proceeds from sales of security transactions exempted from registration requirements as outlined in UCA 61-1-14 (1993). Exemptions granted ...
Topics: Securities--Utah. Banks and banking--Securities processing--Utah. |
Series: 80733
Creator Information Other Records Produced by This Entity Total Retention: Retain for 7 year(s) |
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These are old stock certificates filed in escrow with the Division of Securities. This series includes pass books, stock certificates, and gold stock certificates.
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Series: 82408
Creator Information Other Records Produced by This Entity Total Retention: Permanent. Retain for 2 year(s) |
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This series consists of bound minute books recording the actions of the Securities Commission, especially by the director. Entries and dated and signed with a brief description.
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Series: 807
Related Records (1) Creator Information Other Records Produced by This Entity Total Retention: |
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Holdings: 11 microfilm reels
This series contains files of corporations or companies applying to the Utah Securities Commission in order to issue stocks and bonds. The applications contain supporting documentation including, but not limited to: bylaws of corporations, correspondence between the ... |
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These are investigation files. Included are mortuary statements from banks regarding trust money, pre-need annual reports, contracts, licenses, applications for agent licenses, trust agreements, and copies of civil cases 148, 189 and 8468.
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These files document Mutual Funds offerings, registered with the Department of Commerce, Division of Securities. These records are created for the purpose of ensuring compliance with the Uniform Securities Act (UCA 61-1 thru 30 (1999).
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Series: 22620
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) |
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This is the record of the registration of individuals engaged in the business of effecting transactions in securities and in advising others as to the value of securities and the advisability of investing in securities. According to UCA 61-1-4, the registration is good ...
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Series: 80726
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) |
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This is the record of enforcement action taken against broker-dealers or investment advisors under the authority of UCA 61-1-20.This series include records of hearings including evidence presented and a transcript of the hearing; order to show cause; findings of fact ...
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Series: 80730
Creator Information Other Records Produced by This Entity Total Retention: Permanent. Retain for 20 year(s) after case is closed |
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These files document hearings in which the division has issued a stop order during the registration process to suspend or revoke any security registration statement. The Division of Securities may take this action if the Securities Advisory Board judges it to be in the ...
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Series: 80732
Creator Information Other Records Produced by This Entity Total Retention: Retain for 6 year(s) after case is closed |
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This is an index and finding aid to enforcement files. The information includes name, address, name of promoters, and license number.
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Series: 80740
Creator Information Other Records Produced by This Entity Total Retention: Retain for 40 year(s) |