The division of securities shall retain the 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 the initial filing. For purposes of this section, the date of the initial filing shall be the date upon which the first fee for such filing was received by the division.
The division shall retain all documents, testimony transcripts, investigative reports, and investigative notes that the division has compiled in original or copy form for five years from the date of the alleged or suspected violation of any provision of this chapter.
All other documents filed with the division shall be retained in original or copy form for five years.
The division may by rule exempt any document or record from this section, provided that any document or record exempted is retained by the division for at least as long as it would have been retained had it been subject to this section.
Effective Date: 03-18-1999Section: Previous 1707.39 1707.391 1707.40 1707.41 1707.42 1707.43 1707.431 1707.432-to-1707.439 1707.44 1707.45 1707.46 1707.47 1707.48 1707.99 Next
Last modified: October 10, 2016