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Agency Schedule Detail

Authorization Number :  18000638
Agency Series No. :  72-9
Status :  Active
Agency Web Link : 
Agency :  COM
Confidential Description : 
Division : 
Vital Description : 
Section : 
Record Title :  Investment Adviser Representives
Revision :  0
Record Description :  These files consist of applications for investment adviser representative licensure; notices of termination; correspondence; and other materials related to the licensing of investment adviser representatives.
Retention Period Retention Justification Media Code Method of Disposal
Retian in operating area for a period of 5 years from the date of most recent approval, then destroy. OAC 1301:6 3-48 reads in pertinent part: The division shall draft schedurles for the retention of originals or copies of documents filed with the division for a period which shall be no less than 5 years. Paper Wastepaper
Maintain securities machine readable records on FileMaker database for 5 years form the date of most recent approval, then destroy by erasure Electronic Erase

Approvals

Status Name Title Date
Approved Judy Reid Records Coordinator 11/13/2002 8:54:00 AM
Approved Gloria Fox Records Officer 11/15/2002 10:43:00 AM
Approved Michael Hardenbrook Record Administrator 11/21/2002 11:13:00 AM
Approved Martin Meeks State Auditor 11/29/2002 3:39:00 PM
Approved Charles Arp State Archivist 11/29/2002 3:39:00 PM

Notes

Date Reason User

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