Securities Record Retention
The information you provide to the division is retained in accordance with state record retention laws. The table below outlines record retention.
This page is under development and will be continually
updated over time. please check back.......
| License/Registration Type | Forms | Record Series Name | Record Series Number |
|---|---|---|---|
| Uniform Limited Offering | Form D (Rule 506C) Uniform Limited Offering Files | 506 Private placement records, 1996- | 22621 |
| Audit Work Files | Investment Adviser Pre-Exam Questionnaire | Audit work files, 1999- | 24584 |
| Coordinated Issuer's Files | Form U1 U2 (Consent to Service) U2a, 9-1 (Closing Report) 10-2-1B (Certification) | Coordinated issuer's files, 1982- | 80728 |
| Investigation Case | Official Utah Division of Securities Complaint Form Whistleblower Referral Form | Investigation case files, 1967- | 80729 |
| Miscellaneous Exemption Files | Form 14-2p (Reorganization Exemption Application), Form 14-21v (Solicitation of Interest), Form 14-25v (Accredited Investor Exemption Uniform Notice of Transaction) | Miscellaneous exemption files, 1983- | 80758 |
| Mutual Fund Records | Form NF U2 (Consent to Service) | Mutual fund records, 1996- | 22620 |
| Registration by Qualification for Issuers | Form 11-7b,U7 U2 (Consent to Service) U2a, 10-2-1 (Application) 10-2-1A (Closing Report) | Registration by qualification for issuers, 1982- | 80727 |
| Uniform Limited Offering Exemption | Form D - Rule 506B | Uniform limited offering exemption files, 1982- | 80735 |
| Unit Investment Trust | Form NF U2 (Consent to Service) | Unit investment trust records, 1993- | 22622 |
