1301:6-3-48 Records retention.

(A) The division shall draft schedules for the retention of consents to service of process filed with the division as part of a registration by description, a registration by qualification, a registration by coordination, a filing to claim an exemption, or a notice filing, the scheduled retention period of which shall be no less than eight years.

(B) The division shall draft schedules for the retention of the originals or copies of documents filed with the division as license applications for investment advisers, investment adviser representatives, dealers, and salespersons, and the originals or copies of documents filed with the division as notice filings submitted by federally registered investment advisers, the scheduled retention period of which shall be no less than five years.

(C) The division shall draft schedules for the retention of all documents, testimony transcripts, investigative reports, and investigative notes that the division has compiled in original or copy form, the scheduled retention period of which shall be no less than five years from the date the enforcement file containing this documentation is deemed closed by the division.

R.C. 119.032 review dates: 08/27/2009 and 08/27/2014

Promulgated Under: 119.03

Statutory Authority: 1707.20

Rule Amplifies: 1707.48

Prior Effective Dates: 1-28-00, 11-27-00