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Agency Schedule Detail

Authorization Number :  18000696
Agency Series No. :  71-03
Status :  Active
Agency Web Link : 
Agency :  COM
Confidential Description :   
Division :  COMSEC7
Vital Description : 
Section :  COMSEC7REGS
Record Title :  Registration by Coor/Qual. and NF''''''''s
Revision :  1
Record Description :  These filings consist of records resulting from applications to the Division filed pursuant to Ohio Revised Code 1707.09, and 1707.39 for registrations by qualification and coordination, and of records resulting from notice filings submitted pursuant to Ohio Revised Code 1707.092. These applications and filings pertain to information disclosed to potential investors regarding the details of the proposed sale of securities. They may be accompanied by documents that include: offering circulars, prospectuses, financial statements, registration statements filed with the U.S. Securities & Exchange Commission, opinions of counsel regarding the validity of the securities, advertisements and other sales material, subscription agreements, affidavits of investors, and amendments to the foregoing materials, articles of incorporation, and consents to service of process.
Retention Period Retention Justification Media Code Method of Disposal
Retain hard copy in operating area for 8 years from date of initial filing, or scanned and verified, then destroy. Section 1707.48 of the ORC states in pertinent part: "The Division of Securities shall retain originals or copies of all documents filed with the division pertaining to registration by description, qualification, or coordination and all filings for claims of exemption for eight years from the date of initial filing." Paper Trash
Maintain securities machine readable records on database for 8 years from date of initial filing, then destroy by erasure. Download from electronic filing to disk and retain on site for 8 years from date of initial filing, then destroy. Section 1707.48 of the ORC states in pertinent part: "The Division of Securities shall retain originals or copies of all documents filed with the division pertaining to registration by description, qualification, or coordination and all filings for claims of exemption for eight years from the date of initial filing." Electronic Erase

Approvals

Status Name Title Date
Approved Kelly Igoe Records Coordinator 7/14/2009 8:58:00 AM
Approved Vickie Smith Records Officer 7/15/2009 8:03:00 AM
Approved Michael Hardenbrook Record Administrator 7/16/2009 8:35:00 AM
Approved Martin Meeks State Auditor 7/16/2009 9:21:00 AM
Approved Fred Previts State Archivist 7/16/2009 12:10:00 PM

Notes

Date Reason User

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