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Agency Schedule Detail

Authorization Number :  18000691
Agency Series No. :  72-08
Status :  Active
Agency Web Link : 
Agency :  COM
Confidential Description :   
Division :  COMSEC7
Vital Description : 
Section :  COMSEC7LIC8
Record Title :  Investment Advisers
Revision :  1
Record Description :  These files contain applications and related correspondence and documentation for investment adviser licensure, renewal applications, updates, notices of termination and other materials related to investment adviser licensing and notice filing.
Retention Period Retention Justification Media Code Method of Disposal
Maintain securities machine readable records on database for 5 years from the date of termination, then destroy by erasure. O.A.C. 1301:6-3-48 reads in pertinent part: "The division shall draft schedules for the retention of originals or copies of documents filed with the division...(for a) period which shall be no less than five years." Electronic Erase
Retain in operating area for a period of 5 years from the date of termination or scanned and verified then destroy. O.A.C. 1301:6-3-48 reads in pertinent part: "The division shall draft schedules for the retention of originals or copies of documents filed with the division...(for a) period which shall be no less than five years." Paper Shred

Approvals

Status Name Title Date
Approved Kelly Igoe Records Coordinator 7/14/2009 8:49:00 AM
Approved Vickie Smith Records Officer 7/15/2009 8:00:00 AM
Approved Michael Hardenbrook Record Administrator 7/15/2009 9:27:00 AM
Approved Martin Meeks State Auditor 7/15/2009 1:31:00 PM
Approved Fred Previts State Archivist 7/16/2009 12:20:00 PM

Notes

Date Reason User

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