17 C.F.R. § 200.80f Appendix F—Records control schedule.
Title 17 - Commodity and Securities Exchanges
[60 FR 50091, Sept. 28, 1995]
Title 17: Commodity and Securities Exchanges
PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
§ 200.80f Appendix F—Records control schedule.
------------------------------------------------------------------------ File No. Type of filing Retention period------------------------------------------------------------------------ Securities Act of 1933------------------------------------------------------------------------2-33 Registration statements and 30 years. amendments thereto (Regulation C).2-33 Periodic reports (annual, 30 years. quarterly, current, and proxy material).9- Notice of proposed resale of 21 years. restricted securities and resale of securities by control persons (Form 144).15- Notice of sale of securities 6 years. pursuant to Rule 242 (Form 242). (Obsolete).18- Applications for exemption from 10 years. section 5 registration for interests or participations issued in connection with Keogh Plans (section 3(a)(2)).19- Notice of sale of securities 6 years. pursuant to section 4(6) of the Securities Act of 1933 (Form 4(6)). (Obsolete).20- Offering sheets for oil or gas 15 years. royalties_Regulation B (Schedules A, B, C).20- Reports of sale (accorded 7 years. confidential treatment) (Form 1-G).20- Reports after termination of 7 years. offering (Form 3-G).21- Notice of sale for offerings under 6 years. Regulation D and section 4(6) (Form D).24- Notification of exemption from Until completion registration (Regulation A). or termination of offering plus 10 years or order of the Commission permanently suspending exemption, whichever comes first.29- Report of issuers of sale of 6 years. securities deemed not to involve any public offering (Form 146). (Obsolete).92- Application for relief from Until when final disability (Regulation A). action on appeal is taken plus 10 years.94- Notification of exemption for 10 years. assessment or assessable stock (Regulation F).95- Notification of exemption for Until completion securities issued by a small or termination of business investment company offering plus 5 (Regulation E). years or until order of Commission permanently suspending exemption, whichever comes first.96- Application for relief from Until final action disability (Regulation F). on appeal is taken plus 5 years.98- Notice of proposed sale by non- 6 years. controlling person of restricted securities of issuers which do not satisfy all of the conditions of Rule 144.100- Notification of exemption pursuant 6 years. to Rule 236.------------------------------------------------------------------------ Securities Exchange Act of 1934------------------------------------------------------------------------0-1 Registration statements (sections 30 years. 12(b) and 12(g), exemptions thereunder).0-1 Periodic reports (annual, 30 years. quarterly, current and proxy materials).3- Applications for continuance in 10 years. membership and applications for review of disciplinary actions (self-regulatory organizations).4-281 Consolidated quotation system plan For as long as and amendments. plan remains approved plus 6 years.4-208 Intermarket trading system plan and For as long as amendments. plan remains approved plus 6 years.5- Acquisitions, tender offers and 20 years. solicitations.6- Reports of beneficial ownership of 6 years. securities (Forms 3, 4, & 5).7- Applications for permission to 10 years. extend unlisted trading privileges and related applications pursuant to Rule 12(f).8- Applications for registration as For as long as broker, dealer, municipal broker-dealer is securities broker, or government registered with securities broker or dealer and the Commission related reports. plus 50 years.8-00-2A Annual audit report (fiscal or For as long as calendar year basis) (Form X-17A- broker-dealer is 5). (Non-public) Supplemental registered with report detailing Securities the Commission Investor Protection Corporation plus 13 years. assessment payment or overpayments (Rule 17a-5). (Non-public).8-00-2A-19 Reports of changes in membership of For as long as any of its members required of broker-dealer is national securities exchanges and registered with registered national securities the Commission associations (Form X-17A-19). plus 6 years. (Public).8-00-3X Examination/inspection reports of brokers and dealers, investment companies and investment advisors 1. Exam reports: a. Home Office.................... 13 years. b. Regional Offices............... 13 years. 2. Exam workpapers................ 13 years.8-00-9 Uniform application for securities For as long as and commodities industry broker-dealer is representative and/or agent; registered with certification for associated the Commission persons engaged in securities plus 50 years. activities outside the jurisdiction of the United States; annual assessment form for registered brokers and dealers not members of a registered national securities association (Forms U-4, SECO 2-F, SECO-4, 5).8-2A10 Annual report of revenue and 10 years. expenses filed by exchange members, brokers and dealers (Form X-17A-10). (Obsolete).8-2A12 Report by registered brokers and 6 years. dealers who are over-the-counter market makers in any OTC margin securities (Form X-17A-12).8-2A16(1), - Notification by qualified market 6 years. 2A16(2) makers at least five business days before such broker-dealers obtain third market maker exempt credit pursuant to Regulation U; and quarterly report by broker and dealer, who during a calendar quarter is or has been qualified as a third market maker (Forms X- 17A-16(1); X-17A-16(2)) (Obsolete).8-2A17 Quarterly report filed by every 6 years. broker-dealer block positioner who has filed a notice pursuant to paragraph (a) of Rule 17a-17 (Form X-17A-17) (Obsolete).10- Applications by an exchange for For as long as registration as a national exchange is securities exchange. registered with the Commission plus 6 years.13- Applications for listing securities 10 years. on an exempted exchange, periodic reports.14- Annual reports of issuers having 10 years. securities listed on an exempted exchange.16- Application for registration as a For as long as national securities association or association is affiliated securities associations. registered with the Commission plus 6 years.17- Reports on stabilizing activities 6 years. (Form X-17A-1). (Obsolete).23- Applications for exemption pursuant Until closed plus to paragraph (g) of Rule 11Aa3-1. 6 years.26- Plans by exchanges authorizing For as long as payment of special commission in exchange is connection with a distribution of registered with securities on exchanges (Rule 10b- the Commission 2(d)). plus 50 years.27- Applications for exemption from 10 years. section 13(f).28- Reports by institutional investment 4 years. managers of information with respect to accounts over which they exercise discretion. (Form 13F).80- Annual and supplemental reports of Indefinitely Municipal Securities Rulemaking (contingent). Board (Rule 17a-21).81- Exemptions from registration under 10 years. section 12(g).82- Exemptions_American depositary 10 years. receipts.83-1 Periodic reports and related 3 years. correspondence by the Inter- American Development Bank.83-2 Periodic reports by the Asian 3 years. Development Bank.84- Application for registration as a For as long as transfer agent (non-bank) and transfer agent is amendments thereto. registered with the Commission plus 50 years.85- Application for registration as a For as long as transfer agent (bank) and transfer agent is amendments thereto (Form TA-1). registered with the Commission plus 50 years.86- Application for registration as a For as long as municipal securities dealer which municipal is a bank or separately securities dealer identifiable department or is registered division of a bank (Form MSD). with the Commission plus 50 years.87- Application for registration as a For as long as securities information processor securities and amendments thereto (Form SIP). information processor is registered with the Commission plus 50 years.88- Application for exemption as a For as long as securities information processor securities correspondence. information processor is registered with the Commission plus 50 years.89- Waiver for foreign issuers 10 years. furnished by American depositary receipts; waiver of information furnished by American depositary receipts regarding foreign issuers for Form F-6; waiver of Rule 12g3- 2(b) reporting requirements, annual reports to shareholders, F- 6 waiver, proxy.89- Other waivers for foreign issuers 3 years. furnished by American depositary receipts..128-8 Reports of disciplinary actions by 6 years. stock exchanges (Rule 19d-1).205-3c Reports of disciplinary actions by 6 years. NASD (Rule 19d-1).500- Suspension of trading of securities 10 years. other than on a national securities exchange.600- Applications for registration as a For as long as (non-bank) clearing agency; clearing agency amendments thereto. is registered with the Commission plus 50 years.600-9 Reports of disciplinary actions by 6 years. clearing agencies (Rule 19d-1).601- Applications for exemption from For as long as registration as a (non-bank) clearing agency clearing agency. has reporting requirements with the Commission plus 20 years.SR Proposed rule changes and notice as For as long as to stated policies and self-regulatory interpretations by self-regulatory organization is organizations. registered with the Commission plus 6 years.XX Reports for missing, lost or Indefinitely. counterfeit securities (Form X-17F- 1A).------------------------------------------------------------------------ Public Utility Holding Company Act of 1935------------------------------------------------------------------------12- Statements pursuant to section 2 years. 12(i) by persons employed or retained by a registered holding company or subsidiary thereof (Forms U-12(I)-A & B).30- Notification and registration by For as long as public utility holding companies, holding company annual supplements. has reporting requirements with the Commission plus 10 years.31- Statement of exemption from the Act For as long as by Commission order. company relies on exemption plus 10 years.32- Exemption of purchaser, assignee, Until lease is etc. of leased facilities (Form terminated or U7D). cancelled plus 5 years.33-1 Annual statement by banks holding 2 years. public utility securities but claiming exemption under Rule 3.34- Annual statement by banks holding 2 years. public utility securities but claiming exemption under Rule 3 (Form U-3A3-1).37- Applications and declarations for For as long as authorization of service companies service company (Form U-13-1). is part of a registered holding company plus 5 years.38- Statement under Rule 70(a)(1) For as long as executed by financial authorizing officer/director representative to serve as officer/ serves plus 3 director of holding company, filed years. by representative.40- Certificates of notification by 3 years. registered holding companies and subsidiaries of security issues exempted from section 6(a) by section 6(b) or exempt under Rule 47(b) and not the subject of an order of the Commission (Form U-6B- 2).49- Annual report by mutual and For as long as subsidiary service companies (Form service company U-13-60). is part of a registered holding company system plus 15 years.50- Order granting or withdrawing Until close plus 3 exemptions from rules and related years. correspondence.52- Application for approval or Until closed plus reorganization under section 11(f). 3 years.54- Divestment of securities, assets or Until closed plus control (section 11(e)). 3 years.55- Application for approval of fees Until closed plus incurred in connection with plan 3 years. under section 11(f).59- Simplification of corporate Until closed plus structure, sections 11(b) (1) and 3 years. (2).62- Report by an affiliate service For as long as company or one engaged principally service company in the performance of services is part of a (Form U-13E-1). registered holding company system plus 4 years.68- Declaration with respect to 10 years. solicitations regarding reorganizations of registered holding companies or subsidiaries subject to Rule 62 (Form U-R-1).69- Annual statements by holding 2 years. companies claiming exemption pursuant to Rule 2 (intrastate or predominantly operating companies (Form U-3A-2).70- Applications and declarations Until closed plus pursuant to sections 6(b), 7, 9, 3 years. 9(c)(3), 10, 12(b), 12(c), 12(d), 12(f) and applicable rules thereunder (Form U-1).72- Report of communication with 2 years. stockholders.------------------------------------------------------------------------ Trust Indenture Act of 1939------------------------------------------------------------------------22- Statements of eligibility and Until indenture is qualification of corporations or terminated or individuals as trustees under cancelled plus 30 qualified indenture under which years. debt security has been or is to be issued and exemptions thereto.25- Applications relative to Until applicable affiliations between trustees and indenture is underwriters (Rule 10b-3). terminated or cancelled plus 33 years.93- Reports of indenture trustee to 1 year. indenture security holders with respect to eligibility and qualification under Section 310.------------------------------------------------------------------------ Investment Advisers Act of 1940------------------------------------------------------------------------801- Application for registration as For as long as investment adviser and related investment correspondence. adviser is registered with the Commission plus 9 years.803- Application for exemption from For as long as registered and other relief. investment adviser conducts business under an exemption plus 6 years.------------------------------------------------------------------------ Investment Company Act of 1940------------------------------------------------------------------------90- Notice of sales of securities by 6 years. closed-end issuers (issuers with 100 or less beneficial owners) other than investment companies, registered or required to be registered.811- Notifications and registration For as long as statements. registrant is registered with the Commission plus 30 years.811- Periodic reports (annual, 10 years. quarterly, semi-annual, proxy material).812- Applications for exemption and 10 years. other relief.812- Application by foreign management For as long as investment companies for order registrant has permitting registration. reporting requirement with the Commission plus 33 years.813- Applications for exemption of an For as long as employee's security company registrant has (Section (b)). reporting requirement with the Commission plus 33 years.814- Notice of intent to elect to be 2 years from subject to sections 55 and 65. filing date.814- Notification of withdrawal of 2 years from election to be subject to sections filing date. 55 through 65.814- Notification of election to be 30 years or for as subject to sections 55 through 65. long as a class of the issuer's equity securities is registered under the Securities Exchange Act of 1934 plus 10 years, whichever comes first.816- Request for advisory report re 6 years. reorganization of registered investment company (17 CFR 270.02), and related correspondence.817- Report of repurchase of securities 6 years. by closed-end investment company.818- Sales literature regarding 6 years. securities of certain investment companies.819- Statement of the Federal Savings 6 years. and Loan Corporation relating to the exemption of certain issuers.820- Reports showing that companies have 6 years. complied with requirements of the rule in purchasing new issues of securities from underwriters.821- Reports by registered small 10 years from date business investment companies and of such affiliated banks, with respect to action(s). investments.------------------------------------------------------------------------ Miscellaneous Files and Reports------------------------------------------------------------------------3- Disciplinary proceedings (broker- 25 years. dealer and investment adviser).3- Administrative proceeding stop For as long as orders. registrant has reporting requirement with the Commission plus 30 years.4- 102(e) proceedings (previously 2(e) 25 years. proceedings) (chaned to 3-).4- Miscellaneous studies, general 25 years. conferences, roundtable, etc., authorized by the Commission.111- Federal government agencies 30 years. miscellaneous correspondence.119- Securities violation files Until date of last (information regarding persons reported action against whom actions were reported plus 10 years. on charges of violating state or federal laws in the purchase and sale of securities.122-2 Members of Congress (inquiries 1 year after relating to various subjects). expiration of term in office.122-3 Correspondence and other materials 30 years. between the various Senate Committees and the Commission.122-4 Correspondence and other materials 30 years. between the various House Committees and the Commission.122-6 Correspondence and other materials 30 years. between Congressional Commissions and Joint Committees and the Commission.123-13 Correspondence relating to the 30 years. development of a Canadian Extradition Treaty.124- Stock exchanges (General For as long as Correspondence). exchange is registered with the Commission.124-1 Legislation and Laws: Drafts and 30 years. comments concerning suggested amendments to the various Acts administered by the Commission.124-6124-11124-20124-7, 124-7a Subject files_Drafts, comments and 30 years. correspondence concerning proposed legislation submitted by the Senate and the House to the Commission for comment.124-7b Drafts of bills not yet reported in 30 years. Congress that are submitted to the Commission for comment.132-3 General Correspondence_Active 10 years. companies. Inquiries and complaints concerning companies registered under the various Acts administered by the Commission.132-3 General Correspondence_Inactive 6 years. companies (no longer required to file reports with the Commission). Inquiries and complaints concerning companies registered under the various Acts administered by the Commission.132-3 General 6 years. Correspondence_Miscellaneous. Requests for interpretation of rules and regulations under the Acts administered by the Commission.140- Drafts, internal memoranda, 30 years. correspondence concerning rules and regulations under each of the Acts administered by the Commission.206-, 207- to Reorganization proceedings under 30 years. 215-, 917- Chapters IX, X, XI of the Bankruptcy Act in which the Commission participates.265- Advisory Committees established by 30 years. the Commission (correspondence, questionnaires, reports).Confidential Periodic reports and other 10 years. treatment materials containing contracts, materials commercial and financial information, disclosure of which would impair the value thereof, submitted under confidential cover.CHR SEC Chairman's Subject Case Files.. 20 years.CHR SEC Chairman's Chronological Files Chairman's tenure for Period 1972 to Present. in office plus 3 years.CHR SEC Chairman's General Subject File Chairman's tenure in office plus 3 years.COMM SEC Commissioners' Files (excluding Commissioner's Chairman), 1934 to Present. tenure in office plus 1 year.ENF Investigative Case Files_Closed.... Until closed plus 25 years.ENF Investigative Case Files_Inactive.. Until inactive plus 25 years.LIT Litigation files: .................. 1. Briefs......................... 25 years. 2. File contents other than briefs 10 years.S7 Issuance, amendment or rescission 30 years of rules under the various (permanent). Acts_public comments and views, transcript of hearings, correspondence.XX Reports of internal inquiries: .................. 1. Supporting documentation....... Until date of final action plus 5 years, if no report is issued, or until date of final report plus 5 years. 2. Final reports.................. 5 years.------------------------------------------------------------------------
