Section 460.2513. Authorization records from regulatory bodies for issuance of securities; retention periods.

Rule 13. The following authorization records from regulatory bodies for issuance of securities shall be retained for the periods listed:

(a)  ) Copies of applications to regulatory bodies for authority to issue stocks, bonds, and other securities, including copies of exhibits in support of such applications.

25 years or until all securities covered are retired, whichever is shorter. If a retention period is prescribed elsewhere in the schedule with respect to any document which is included as an exhibit to any filing retained pursuant to the requirements of this subdivision, the company need retain only 1 copy of such document in its files if appropriate cross-references are established.

(b)  Official copies of opinions and orders of regulatory bodies granting authority to issue securities.

Until securities covered are retired.

(c)  ) Reports filed with regulatory bodies in compliance with authorizations to issue securities. File copies of such reports and supporting papers.

Until securities covered are retired.

History: 1979 AC; 1980 AACS.