1 §200.80d Appendix D Other publications available from the Commission. (a) Limited amounts of the following materials among others are available free of charge upon request to the Commission's Publications Section, Public Reference Branch, 202-272-7460: Work of the Securities and Exchange Commission. Blank copies of all forms used under each of the Acts administered by the Commission. (b) Facsimile copies of other SEC publications which are out of print may be obtained through the Commission's Public Reference Section, at the cost of the copying service to be performed by the commercial copier employed to do the copying. Purchasers of copies will be billed by the copier. An example of the publications which are available in this way is the Litigation Actions and Proceedings Bulletin. [52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987] § 200.80e Appendix E-Schedule of fees for records services. Search and review services: Up to one half hour total-No fee. For each one half hour or fraction thereof of chargeable service-up to GS-11 employee performing service: $8.00; GS-12 or above employee performing service: $14.00. Attestation with Commission seal: $4.00 Duplication services: The following duplication services are available. The stated time for delivery in each case begins to run only after receipt of the material by the contractor; if files cannot immediately be made available by the Commission, the time of shipment will be affected. Regular service. Paper copies of original paper copies, or from microfiche accessible to the contractor, will be shipped within seven calendar days after the contractor receives the order and material at $0.24 per page, exclusive of any applicable shipment cost and sales taxes. Other services. The Commission's dissemination contractor also provides a wide range of additional regulated dissemination services through the Commission's public reference rooms. Two offsite services also are provided at prices that are regulated: microfiche subscriptions and watch services. Information concerning the availability of all dissemination services may be obtained by writing to the Commission's public reference room located at 450 Fifth Street, NW., room 1024, Washington, DC 20549 or calling 202-272-3100. Copies made pursuant to requests submitted to the Commission's public reference room will be filled by the contractor and sent directly to the purchaser, unless attestation is requested. The contractor will bill the purchaser directly for the cost of copies plus postage or other delivery charges, and applicable taxes. Purchasers shall make full payment directly to the contractor for these services. Search, review or attestation charges will be billed separately by the Commission. [52 FR 24148, June 29, 1987; 52 FR 48193, Dec. 21, 1987, as amended at 55 FR 41189, Oct. 10, 1990; 57 FR 48970, Oct. 29, 1992; 58 FR 64120, Dec. 6, 1993] §200.80f Appendix F-Records control schedule. 2-33 Notice of proposed resale of restricted securities and resale of securities by control per- 21 years. 15 Notice of sale of securities pursuant to Rule 242 (Form 242). (Obsolete) 6 years. 18 Applications for exemption from section 5 registration for interests or participations issued 10 years. in connection with Keogh Plans (section 3(a)(2)). 7 Notice of sale of securities pursuant to section 4(6) of the Securities Act of 1933 (Form 6 years. Offering sheets for oil or gas royalties-Regulation B (Schedules A, B, C) Reports of sale (accorded confidential treatment) (Form 1-G) Notice of sale for offerings under Regulation D and section 4(6) (Form D) 15 years. 7 years. years. 6 years. Retention period Until completion or termination of offering Report of issuers of sale of securities deemed not to involve any public offering (Form 6 years. Application for relief from disability (Regulation A) Until when final action on appeal is taken Notification of exemption for assessment or assessable stock (Regulation F) Application for relief from disability (Regulation F) Notice of proposed sale by non-controlling person of restricted securities of issuers which do not satisfy all of the conditions of Rule 144. Notification of exemption pursuant to Rule 236 plus 5 years or until order of Commission permanently suspending exemption, Applications for continuance in membership and applications for review of disciplinary ac- 10 years. Applications for permission to extend unlisted trading privileges and related applications pursuant to Rule 12(f). Applications for registration as broker, dealer, municipal securities broker, or government Annual audit report (fiscal or calendar year basis) (Form X-17A-5). (Non-public) Supple- Reports of changes in membership of any of its members required of national securities 6 years. Notification by qualified market makers at least five business days before such broker- For as long as exchange is registered with the Commission plus 6 years. 10 years. 10 years. Applications for listing securities on an exempted exchange, periodic reports the Commission plus 6 years. Plans by exchanges authorizing payment of special commission in connection with a dis- For as long as exchange is registered with tribution of securities on exchanges (Rule 10b-2(d)). Reports by institutional investment managers of information with respect to accounts over Annual and supplemental reports of Municipal Securities Rulemaking Board (Rule 17a-21) Periodic reports and related correspondence by the Inter-American Development Bank Application for registration as a transfer agent (non-bank) and amendments thereto the Commission plus 50 years. Type of filing Application for registration as a transfer agent (bank) and amendments thereto (Form TA1). Application for registration as a municipal securities dealer which is a bank or separately Retention period For as long as transfer agent is registered with the Commission plus 50 years. For as long as municipal securities dealer is Application for registration as a securities information processor and amendments thereto For as long as securities information proc(Form SIP). Application for exemption as a securities information processor correspondence Waiver for foreign issuers furnished by American depositary receipts; waiver of information Other waivers for foreign issuers furnished by American depositary receipts. Suspension of trading of securities other than on a national securities exchange Reports of disciplinary actions by clearing agencies (Rule 19d-1) essor is registered with the Commission plus 50 years. For as long as securities information proc- 10 years. Proposed rule changes and notice as to stated policies and interpretations by self-regu- For as long as self-regulatory organization is latory organizations. Reports for missing, lost or counterfeit securities (Form X-17F-1A) registered with the Commission plus 6 Public Utility Holding Company Act of 1935 Statements pursuant to section 12(i) by persons employed or retained by a registered 2 years. holding company or subsidiary thereof (Forms U-12(I)-A & B). Notification and registration by public utility holding companies, annual supplements Exemption of purchaser, assignee, etc. of leased facilities (Form U7D) For as long as holding company has reporting requirements with the Commission plus 10 years. For as long as company relies on exemption plus 10 years. Until lease is terminated or cancelled plus 5 years. Annual statement by banks holding public utility securities but claiming exemption under 2 years. Annual statement by banks holding public utility securities but claiming exemption under 2 years. Applications and declarations for authorization of service companies (Form U-13-1) For as long as service company is part of a registered holding company plus 5 years. བ་་་བ་་་་་་ ་་ ་་་་་ ་་་་ Statement under Rule 70(a)(1) executed by financial authorizing representative to serve For as long as officer/director serves plus 3 as officer/director of holding company, filed by representative. Certificates of notification by registered holding companies and subsidiaries of security is sues 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). Annual report by mutual and subsidiary service companies (Form U-13-60) For as long as service company is part of a Until close plus 3 years. Report by an affiliate service company or one engaged principally in the performance of For as long as service company is part of a Statements of eligibility and qualification of corporations or individuals as trustees under qualified indenture under which debt security has been or is to be issued and exemptions thereto. Applications relative to affiliations between trustees and underwriters (Rule 10b-3) Reports of indenture trustee to indenture security holders with respect to eligibility and qualification under Section 310. 1 year. For as long as investment adviser is reg- Notice of sales of securities by closed-end issuers (issuers with 100 or less beneficial 6 years. For as long as registrant is registered with the Commission plus 30 years. 10 years. 33 |