seriesNo,seriesEntityName,seriesTitle,seriesDateRange,seriesArrangement,seriesDescription,seriesTotRetentDesc,seriesPrimaryClassCode,seriesExtentDesc
81355,Department of Financial Institutions,Applications not hired,1987-,none,,Retain for 2 year(s),Private,
81367,Department of Financial Institutions,Purchase requisitions,1987-,none,agency purchases,Retain until resolution of issue,,
81375,Department of Financial Institutions,Vendor purchase applications,1987-,none,,Retain until expiration of contractual agreement,Public,
81345,Department of Financial Institutions,Depository institution incorporation files,1913-,Alphabetical by institution,"These records document the incorporation charters issued by the department to depository institutions. They are also used by the department staff to answer any inquiries referred to the staff by consumers or other agencies. They include articles of incorporation\, charters\, investigative reports\, workpapers\, correspondence\, and directives affecting the operation of the institution.",Permanent. Retain until final action,Protected,
81358,Department of Financial Institutions,Deposits to the Treasurer,1987-,none,,Retain for 2 year(s),,
81370,Department of Financial Institutions,Staff minutes,1987-,none,Minutes of staff meetings,Retain for 2 year(s),,
84661,Department of Financial Institutions,Third-party payment license application files,1983-,Alphabetical by name,"These files document the issuance of licenses to financial corporations who\, upon proving a net worth of one million dollars\,are allowed to issue money orders\, traveler's checks\, and other forms of third-party payment in Utah. Information in the file assists the agency in annual license renewal. Licensing is required for the protection of purchasers of third-party payments. The files include a copy of the license (name of vendor\, date of commencement\, date and place of incorporation\, signature of commissioner\, date signed); application for license (name and address of applicant\, incorporation date and date admitted to do business in Utah\, signature of applicant\, notarized affidavit\, notary signature and seal); letter of,renewal of license; receipt of annual application fee; annual audited financial statements showing networth of one million dollars; and a copy of continuation certification (date of receipt of renewal request).",Retain for 1 year(s) after expiration of permit or license,Public,
81348,Department of Financial Institutions,Holding companies registration files,1981-,Alphabetical by name,"All financial institution holding companies are required to register with the department. This is reviewed by the department for discrepancies\, improprieties\, and other problems. This is then used as a reference tool by the agency when they want information about the company. These files include name and address of company\, name and address 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.",Retain for 4 year(s),,
81342,Department of Financial Institutions,Depository institutions applications,1981-,Alphabetical by name of institution,"These are applications for doing business as a lender in the State of Utah. In order to do this\, the applicant must have the approval of the Department of Financial Institutions. The applications can be filled out by an individual wishing to buy a bank or a corporate entity. The department reviews the application for financial status and does a background check through the security division in Business Regulations\, the Attorney General's office\, and the FBI. These applications include articles of incorporation\, charters\, historical background of the individual(s) or corporation\, financial status of the corporation or individual(s)\, and correspondence. Application types include: branch banks; new banks; new owners or,owners who want to purchase more than 20% of the corporation's stock; credit unions; to change from one type of institution to another; and trust departments.",Retain for 4 year(s),Private,
81374,Department of Financial Institutions,Travel requests,1987-,none,,Retain for 3 year(s),Public,
81344,Department of Financial Institutions,Depository institution statistical financial reports,1981-,Alphabetical by institution,"These financial reports are requested by the commissioner twice a year for all depository institutions in the State of Utah. These reports differ from the Call Reports in that they are not shared routinely outside the department with other agencies. Secondly\, these reports are not subject to public disclosure as Call Reports are. The examiners compare the reports to the regulatory requirements established by the department to determine the health of each depository institution. This record series includes earnings and dividends reports\, financial reports\, balance sheets\, data about classified loans\, and profit and loss statements.",Permanent. Retain for 4 year(s),Protected,
81360,Department of Financial Institutions,Fixed asset inventory list,1987-,none,,Retain for 2 year(s) after superseded,,
81371,Department of Financial Institutions,Surplus Property disposal records,1987-,none,,Retain for 1 year(s) after final action,,
81341,Department of Financial Institutions,Board meeting minutes,1981-,Chronological,These are minutes recorded from meetings held by the Financial Institutions Board. Their responsibility ranges from approving the budget requests for the agency to acting as an advisory committee when drafting banking regulations. Included her are transcript records of what was said and who said it.,Permanent. Retain for 5 year(s),,
81349,Department of Financial Institutions,Issuer's application for registration to sell securities,1981-,Alphabetical by name,"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.",Retain for 3 year(s),Private,
81353,Department of Financial Institutions,Annual financial report,1987-,Chronological,,Retain for 5 year(s),,
81350,Department of Financial Institutions,Monthly reports of public funds in depository institutions,1981-,Chronological,"The department acts as staff to the state's money management committee. This committee is responsible for supervising the deposit of public funds in the state. These reports are used to monitor the institution in which the state's money is located. These reports include name of institution\, total percentage of funds\, insured funds held\, uninsured/uncollaterized public funds\, and unsecured public funds.",Retain for 1 year(s),Protected,
81369,Department of Financial Institutions,Records transfer sheets,1987-,none,Transfers to record center and Archives,Retain for 6 month(s) after final action,,
81357,Department of Financial Institutions,Budget workpapers,1987-,none,,Retain for 1 year(s),,
81368,Department of Financial Institutions,Records retention schedule,1987-,none,Financial Institutions retention schedule,Retain until superseded,,
81359,Department of Financial Institutions,Expenditure adjustments,1987-,none,,Retain for 2 year(s),,
81338,Department of Financial Institutions,Applications to act as money order vendors,1981-,Alphabetical by name,"In order for a vendor to become an underwriter for money orders\, they must register with the state and meet certain criteria. This criteria is that the vendor must have at least $1 million in assets and hold a $50\,000 bond. The application is reviewed by the department and the financial status is verified. This application is then held on file as proof of registration. This is done once a year. These applications include name and address of applicant\, financial statement\, background information of applicant\, and proof of bonding.",Retain for 2 year(s),,
81340,Department of Financial Institutions,Call reports,1981-,Alphabetical by institution,"These financial reports are requested by the commissioner twice a year for all depository institutions in the State of Utah. The examiners compare the reports to the regulatory requirements established by the department to determine the health of each depository institution. These files include earnings and dividends reports\, financial reports\, balance sheets\, data about classified loans\, and profit and loss statements.",Retain for 4 year(s),Protected,
81356,Department of Financial Institutions,Budget requests,1987-,none,,Permanent. Retain for 3 year(s),,
81343,Department of Financial Institutions,Depository institution examination reports,1971-,Chronological,"These are records resulting from institutional examinations conducted by staff from the department. The examinations are commercial in nature and are intended to discover any financial problems the institution may be suffering from. All institutions subject to regulation by outside agencies such as the Federal Reserve Bank receive a copy of these examinations for their use and reference. These records include statistical financial data\, loan reviews\, investment reviews\, policy and procedures reviews\, copies of bank board minutes\, and final copies of the department's written report of the examination.",Permanent. Retain for 7 year(s),Protected,
81339,Department of Financial Institutions,Authorization to use restricted words in name files,1981-,Alphabetical by name,"Utah law forbids an institution to misrepresent itself as a depository institution by using an unauthorized title or name in its business logo. These files are the documentation resulting from the regulation and approval of this process. The information includes name and address of applicant\, proposed name and address\, nature of proposed business organization\, affiliated organizations\, signature of applicant\, approval with or without restrictions\, and signature of department commissioner.",Retain for 1 year(s) after resolution of issue,Public,
81364,Department of Financial Institutions,Payroll reports,1987-,none,,Retain for 3 year(s),Private,
81352,Department of Financial Institutions,Notice to establish a consumer funds transfer facility,1985-,Alphabetical by name,"All depository institutions must provide notice of the intention to open an automated teller machine 30 days before commencing operation. No machine may be installed that is owned by an institution authorized to receive deposits in Utah. The department may disapprove the installation based on commercial reasons\, safety reasons\, or for any unsound conditions under the jurisdiction of the agency. The information includes name of applicant\, address of proposed facility\, owner of facility\, signature and title of applicant\, evidence provided for disapproval.",Retain until resolution of issue,,
81362,Department of Financial Institutions,Leave applications,1987-,none,,Retain for 1 year(s),Private,
81346,Department of Financial Institutions,General correspondence,1981-,Alphabetical by originator,"These are letters to and from state agencies\, depository institutions\, consumers\, and federal agencies addressing routine agency matters and regulatory matters. This includes memorandums\, circulars\, and letters outgoing and incoming.",Permanent. Retain for 2 year(s),Private,
81354,Department of Financial Institutions,Annual leave cards,1987-,none,,Retain for 65 year(s),Private,
81363,Department of Financial Institutions,Motor pool operation records,1987-,none,General schedule 2a,Retain for 3 month(s),,
81373,Department of Financial Institutions,Travel reimbursement files,1987-,none,,Retain for 3 year(s),Public,
81351,Department of Financial Institutions,Notification of intent to extend consumer credit from credit corporations,1981-,Alphabetical by name,"This is a form sent from any corporation which wishes to extend credit to consumers in exchange for goods or services\, make consumer leases\, or take assignments of consumer paper. These corporations are required to file this notice once a year with the department. The information includes name and address of person or firm\, type of business\, type of credit or loan extended\, and a fee computation sheet.",Retain for 2 year(s),Private,
2896,Department of Financial Institutions,Correspondence,1921-1969.,chronological thereunder alphabetical,"Correspondence with financial institutions\, federal government\, etc.",,Public,1 microfilm reel
2894,Department of Financial Institutions,"Laws, rules and regulations",1911-1983.,Chronological,"These laws\, rules and regulations of the Department of Financial Institutions (formerly Bank Commission and Banking Department) are created to supervise and administer banks\, savings and loans\, building and loans\, credit unions\, mortgages\, trust companies\, holding companies\, travelers checks\, and escrow agents.",,Public,0.35 cubic foot 1 microfilm reel
10808,Department of Financial Institutions,Quarterly bank resource lists and consolidated statements,1968-1982.,chronological,"Information recorded on these quarterly lists include the name of the bank (listed in alphabetical order)\, the bank location (city)\, and the total resources reported as of the reporting date. State and national banks are listed separately. On the back of each list is a consolidated statement showing assets\, liabilities\, total deposits\, and capital for state banks\, national banks\, total for all state and national banks in the state as of the reporting date\, and the previous year's total for all state and national banks in the state. Years for which lists are held by the archives include 1968\, 1969\, 1970\, 1971\, 1972\, 1977\, 1978\, 1979 and 1982.,With these records is a single copy of a statement comparing total assets of 13 savings/building and loan associations as of the close of business on December 31\, 1968. The 13 separate associations are listed alphabetically\, followed by the name of the city in which the association conducts business\, its total assets for the year and the total assets for the previous year. On the other side of the sheet is a report showing the collective condition of the 13 savings/building and loan associations at the close of business on December 31\, 1968. The report lists various assets and liabilities\, broken down by category\, and the totals for all 13 associations. For comparison\, totals for 1967 (14 associations) are listed side by side with the 1968 totals.",,Public,1 microfilm reel
3746,Utah. Banking Dept.,Duchesne county bank records,1920-1926.,Alphanumerical,"This series include records for more than one bank. Records from the Myton Bank include ledgers\, minute books\, statements\, correspondence and a report to stockholders. These records are from the years 1920-1926. The Bank of Duchesne had one record from 1922 which is a report of examination.",Permanent. Retain until final action,,
3514,Department of Financial Institutions,Public funds reports,1968-1969.,Chronological,"This series contains financial records of public funds. The documents in this series were created by State and National banks holding public funds. Each bank holding public funds was required to send a monthly statement to the treasurer in charge of the funds\, and send a duplicate statement to the State Depository Board. This series contains those duplicate statements. Each month also contains a complete list of State and National banks with public funds\, as well as a list of excess public funds.",,Public,
10196,Department of Financial Institutions,Charter Thrift and Loan general correspondence,1980-1992.,Alphabetical by subject,These records were created or received by the thrift in the normal course of business. The correspondence documents executive decision-making and action as well as transmittal procedures.,Permanent. Retain for 4 year(s) after final action,Public,
2898,Utah. Banking Dept.,Merchants bank records,1918-1920.,Alphanumerical.,These records include general ledgers and balance ledgers.,Permanent. Retain until final action,Public,
10197,Department of Financial Institutions,Charter Thrift and Loan corporate records,1980-1986.,Chronological,"These records were created by the Board of Directors to record the minutes of board meetings. They document board\, personnel\, and loan decisions. They include stock registers which track the purchase of stock certificates for monitoring by the board.",Permanent. Retain for 7 year(s) after final action,Protected,
10428,Department of Financial Institutions,Commerce Financial Thrift and Loan corporate records,1980-1986.,Chronological,"These records were created by the Board of Directors to record the minutes of board meetings. They document board\, personnel\, and loan decisions. They include stock registers which track the purchase of stock certificates for monitoring by the board.",Permanent. Retain for 7 year(s) after final action,Protected,
10403,Department of Financial Institutions,Copper State Thrift and Loan corporate records,1980-1986.,Chronological,"These records were created by the Board of Directors to record the minutes of board meetings. They document board\, personnel\, and loan decisions. They include stock registers which track the purchase of stock certificates for monitoring by the board.",Permanent. Retain for 7 year(s) after final action,Protected,
10538,Department of Financial Institutions,Travel advance cancelled checks,1982-,Numerical by check number,"Cancelled checks\, debit/credit memoranda\, deposit slips\, and monthly reconciliations.",Retain for 3 year(s),,
11925,Department of Financial Institutions,Utah Savings & Loan Association liquidation correspondence,1966-1975.,chronological,"This is correspondence between various clients\, attorneys\, and financial institutions with the state office of financial institutions about the disposition of various claims.",,,
10407,Department of Financial Institutions,Copper State Thrift and Loan general correspondence,1980-1992.,Alphabetical by subject,These records were created or received by the thrift in the normal course of business. The correspondence documents executive decision-making and action as well as transmittal procedures.,Permanent. Retain for 4 year(s) after final action,Public,
2363,Utah. Banking Dept.,Deseret National Bank records,1910-1939.,Alphanumerical,"These records include creditors claims with account books\, tellers blotters\, stockholders registers\, depositors lists\, minute books\, dividend registers\, and general ledgers.",Permanent. Retain until final action,,
2899,Utah. Banking Dept.,Columbia Trust Company records,1915-1939.,Alphanumerical.,"These records include general ledgers\, dividend registers\, checking account sheets\, and canceled checks.",Permanent. Retain until final action,Public,
5872,Department of Financial Institutions,Bank location maps,1959-,Alphanumerical,,Retain permanently,,
5355,Department of Financial Institutions,Bank statements and cancelled checks,1953-1978.,Alphanumerical,,Permanent. Retain for 1 year(s),,
2893,Utah. Banking Dept.,Financial institutions statistical data,1943-1967.,Chronological by bank review date.,"This series contains asset and liability statements for state and national banks in Utah. Information includes bank commissioner's names; statement dates; bank names; locations; and summary information for bank assets\, liabilities\, capital accounts\, mergers\, and deposits.",,,
2913,Utah. Banking Dept.,Midvale State Bank records,1928-1941.,Alphanumerical,"These records include ledgers\, records of drafts\, advice of charge ledgers\, dividend registers\, minute books\, reconcilement registers\, court proceedings\, stock ledgers\, surety bonds\, cash items charged off by the State Auditor\, claims\, statements\, liability ledger\, savings account ledger\, and loans and discount ledger.",Permanent. Retain until final action,Public,
2895,Banking Commission,Letterbooks,1912-1913.,Chronological by date of letter.,"This series contains correspondence from the Bank Commissioner of the State of Utah to various banks requesting completion of forms describing each bank's current condition. Information includes correspondence with banks requesting compliance and additional correspondence acknowledging the receipt of checks\, reports\, and completed forms.",,Public,
2900,Utah. Banking Dept.,Jordan Valley Bank records,1926-1937.,Alphanumerical,"These records include claims ledgers\, dividend registers\, checking account sheets\, and canceled checks.",Permanent. Retain until final action,Public,
23914,Department of Financial Institutions,Receipts,1996-,numerical,Agency copy of receipts given to customers to the agency for services rendered.,Retain for 7 year(s),Public,
23108,Department of Financial Institutions,Networth News newsletters,1995-,Chronological,"This series contains newsletters created by the Department of Financial Institutions to provide current financial information. The newsletters contain information pertaining to the Commissioner's message\, agency activities\, agency staff\, legislation\, and financial institutions.",Permanent. Retain until administrative need ends,Public,0.20 cubic foot
2904,Department of Financial Institutions,Administrative records,1918-1982.,Alphanumerical.,"This series includes correspondence\, memos\, reports\, etc.",,Public,
2892,Department of Financial Institutions,Annual reports,1913-,Chronological,"This series contains reports of Department of Financial Institutions (formerly Banking Commission and Banking Department) activities from the previous year with information pertaining to agency activities\, agency staff\, history\, banks\, credit unions\, savings and loans\, trust companies\, financial holding companies\, travelers checks\, escrow agents\, mortgages\, and fiscal and financial operations.",Permanent. Retain until administrative need ends,Public,2.00 cubic feet 2 microfilm reels