Kansas Records Retention Schedules

17 Schedule Entries Found:

Agency Number: 625-001
Office of the Securities Commissioner

SERIES ID	0001-625
TITLE	Broker/Dealer Files
DESCRIPTION	Applications, financial statements, correspondence, certificates, etc. relating to the licensing process for brokers and dealers to trade securities in Kansas.
RETENTION	See Comments
COMMENTS	Retain in office until termination, transfer to the records center for 5 years, then destroy except for Kansas brokers and dealers which will be transferred to the archives.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	1999-04-15
K.A.R. NUMBER	53-2-119

SERIES ID	0002-625
TITLE	Enforcement Case Files
DESCRIPTION	Documents related to the investigation of possible violations of statutes and regulations regarding the issuances of financial securities and to the subsequent actions taken by the commissioner.
RETENTION	See Comments
COMMENTS	Retain in office 2 yrs after case is closed, transfer to the records center for 10 yrs, then transfer to the archives for sampling in consultation with the agency.
DISPOSITION	See Comments
RESTRICTIONS	KSA 45-221(a)(11)
APPROVED	1993-07-15
K.A.R. NUMBER	53-2-097

SERIES ID	0003-625
TITLE	Interpretive Opinion Files
DESCRIPTION	Documents related to opinion letters issued in response to private sector requests for rulings on the compliance of specific securities related activities with state statutes and regulations.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1993-04-15
K.A.R. NUMBER	53-2-096

SERIES ID	0011625
TITLE	Investment Advisor Files
DESCRIPTION	Applications, financial statements, correspondence, certificates, etc. relating to the licensing process for investment advisors to trade securities in Kansas.
RETENTION	See Comments
COMMENTS	Retain in office until individual investment advisor's termination, transfer to the records center for 5 years, then destroy except for Kansas investment advisers which will be transferred to the archives.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0004-625
TITLE	Land Sales Registration Records
DESCRIPTION	Applications, correspondence, description of lands, etc. relating to the registration of companies and individuals wishing to sell undeveloped land to Kansans.
RETENTION	See Comments
COMMENTS	Retain until registration is terminated plus 1 year, transfer to the records center for 5 years, then destroy except for Kansas land sales which will be transferred to the archives. Note: Almost all of the registrations concern lands outside Kansas.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	1999-04-15
K.A.R. NUMBER	53-2-119

SERIES ID	0005-625
TITLE	Legal Files - Administrative
DESCRIPTION	Original orders, correspondence, etc. relating to agency legal action taken in investigations of possible violations of statutes and regulations regarding the issuance of financial securities.
RETENTION	See Comments
COMMENTS	Retain in office 8 years, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1996-04-18
K.A.R. NUMBER	53-2-108

SERIES ID	0006-625
TITLE	Legal Files - Administrative Subpoena
DESCRIPTION	Subpoenas issued by the Securities Commissioner to obtain information to support investigations that do not require any additional legal action.
RETENTION	See Comments
COMMENTS	Retain in office 8 years, transfer to the records center for 3 years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1996-04-18
K.A.R. NUMBER	53-2-108

SERIES ID	0007-625
TITLE	Legal Files - Criminal
DESCRIPTION	Correspondence, court filings, etc. relating to investigations of possible violations of statues & regulations regarding issuance of financial securities that result in the filing of criminal charges.
RETENTION	See Comments
COMMENTS	Retain in office 8 years, then transfer to the archives.
DISPOSITION	Archives
RESTRICTIONS	None
APPROVED	1996-04-18
K.A.R. NUMBER	53-2-108

SERIES ID	0012625
TITLE	Mutual Fund and Unit Investment Trust Files
DESCRIPTION	Notice Filing Applications, correspondence, and termination letters relating to the sales of securities.
RETENTION	See Comments
COMMENTS	Retain in office until individual securities broker's termination, transfer to the records center for 5 years, then destroy except for Kansas filings which will be transferred to the archives.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0008-625
TITLE	Securities Issuers Annual Reports
DESCRIPTION	Copies of annual financial reports and prospecti of companies and individuals licensed to issue mutual fund securities in the state of Kansas.
RETENTION	See Comments
COMMENTS	Retain until no longer useful, then transfer the Kansas companies to the archives, the remainder destroy.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	1991-07-11
K.A.R. NUMBER	53-2-089

SERIES ID	0009-625
TITLE	Security Issue Registration Records
DESCRIPTION	Applications, correspondence, notices of sales completion, and supporting documentation relating to the sales of specific financial securities within Kansas.
RETENTION	See Comments
COMMENTS	Retain in office until termination, transfer to the records center for 5 years, then destroy except for Kansas issuers which will be transferred to the archives.
DISPOSITION	See Comments
RESTRICTIONS	None
APPROVED	1999-04-15
K.A.R. NUMBER	53-2-119

SERIES ID	0010-625
TITLE	Security Issuers Exemption Records
DESCRIPTION	Documents regarding requests by individual issuers of securities for exemptions from specific commission regulations and actions taken by the agency in response.
RETENTION	005 cldr yrs
COMMENTS
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	1999-04-15
K.A.R. NUMBER	53-2-119

SERIES ID	0013625
TITLE	Uniform Limited Exemption Offerings Files
DESCRIPTION	Applications and supporting documentation submitted by securities traders wanting to file a Uniform Limited Exemption Offering according to Rule 505 and 506.
RETENTION	005 fisc yrs
COMMENTS	Retain in office through end of current fiscal year, then transfer to the records center for 4 fiscal years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0014625
TITLE	Voucher - Receipts
DESCRIPTION	Copies of documents used to transfer funds received by agencies from individuals and organizations into their particular accounts: forms DA-3 series.
RETENTION	005 fisc yrs
COMMENTS	Retain in office 1 fiscal year, then transfer to the records center for 4 fiscal years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0015625
TITLE	Vouchers - Journal
DESCRIPTION	DA forms 35 series used to adjust financial account balances.
RETENTION	005 fisc yrs
COMMENTS	Retain in office 1 fiscal year, transfer to the records center for 4 fiscal years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0016625
TITLE	Vouchers - Purchase
DESCRIPTION	Copies of documents used to order and pay for goods and services: DA forms 100 thru 109 and DA-120.
RETENTION	005 fisc yrs
COMMENTS	Retain in office 1 fiscal year, transfer to the records center for 4 fiscal years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

SERIES ID	0017625
TITLE	Vouchers - Travel
DESCRIPTION	Copies of documents used to certify the validity of claims for the reimbursement of travel expenses: DA forms 121, 122, and 123.
RETENTION	005 fisc yrs
COMMENTS	Retain in office 1 fiscal year, transfer to the records center for 4 fiscal years, then destroy.
DISPOSITION	Destroy
RESTRICTIONS	None
APPROVED	2001-01-11
K.A.R. NUMBER	53-2-125

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