Total entries: 15 (Listed alphabetically by title)
Description: This series documents the Department's NASCUS and CSBS accreditation. The series includes documents submitted by the Department to obtain accreditation and correspondence with the appropriate entity.
Retention: 1 version retained until superseded
Updated: April 25, 2018
Description: This series documents the approvals granted by the Department to financial institutions regarding their operations. The series consists of non-routine regulatory approvals and requests thereof, including charter approvals and approvals of parity, legal lending limits, business line expansion, and changes of control.
Retention: 5 years after expiration
Updated: April 25, 2018
Description: This series documents records of the Department's active financial institutions. The series includes progress reports, IBFRs (Individual Biographical Financial Reports), annual audit reports, and responses to regulatory correspondence. The series does not include records that are otherwise included in other record retention schedules.
Retention: 5 years
Updated: April 25, 2018
Description: This series documents work papers of active financial institutions and licensees and registrants. The work papers support the review, analysis, opinions, and conclusions of examination of financial institutions, licensees, and registrants. The series includes notes, memoranda, reports, correspondence, communications, and other records in connection with the examination, visitation, or target review.
Retention: 1 set of work papers retained until superseded
Updated: April 27, 2021
Description: This series documents administrative actions issued regarding the Department's financial institutions. This series includes orders, memorandums of understanding, and board resolutions.
Retention: 20 years
Updated: April 25, 2018
Description: This series documents the Department's licensees' and registrants' surety bonds and claims filed under those bonds against the surety. The series includes surety bonds, bond claims, and documents in support of the bond claims.
Retention: 21 years
Updated: April 25, 2018
Description: Approved amendments to the credit union bylaws that change the field of membership proposed in the original articles or as subsequently amended.
Retention: Permanent
Updated: April 25, 2018
Description: This series documents records of closed financial institutions that were: 1) voluntarily liquidated, converted, or merged; or 2) involuntarily placed into receivership, liquidated, or placed into conservatorship. The series includes work papers and correspondence including work papers generated by the Department.
Retention: 3 years after the date of liquidation, conversion, merger, appointment of receiver, or conservatorship
Updated: April 25, 2018
Description: This series documents the Department's examination of its financial institutions. The series includes the safety and soundness reports of examination of all active and closed financial institutions and transmittal letters.
Retention: 20 years
Updated: April 25, 2018
Description: This series documents the files of the Department's licensees and registrants, including applicants for a license or a registration and persons subject to the Department's jurisdiction: mortgage lenders, mortgage brokers, mortgage loan originators, sellers of payment instruments, money transmitters, check cashers, and installment lenders. The series includes applications for licensure and jurisdictional documents, compliance records, reports of examination (including investigations and visits), notices of administrative actions, suspensions, bond cease and desist orders, and correspondence.
Retention: 5 years following denial of application or expiration, surrender, termination, or revocation of license/registration.
Updated: April 27, 2021
Description: This series consists of final orders issued by Non-Depository Financial Institutions division with regards to licensing, registration, and unlicensed activity.
Retention: Permanent
Updated: April 25, 2018
Description: This series documents the districts' peer work paper review, which consists of reports and records; and assesses sufficiency and quality of work papers in order to support the examination findings as well as to ensure consistency among the districts.
Retention: 2 years
Updated: April 25, 2018
Description: This series documents correspondence from other regulators received by the Department that is not otherwise included in this record retention schedule. The series does not include correspondence regarding financial institutions which were previously or are currently subject to the Department's jurisdiction.
Retention: Useful Life
Updated: April 25, 2018
Description: This series consists of Suspicious Activity Reports (SARs) submitted to the Department by financial institutions pursuant to federal law (specifically, the Bank Secrecy Act). They are used to help with investigations and/or enforcement actions.
Retention: Useful Life
Updated: April 25, 2018
Description: This series documents the administrative hearings presided by the Commissioner of the Department. The series includes administrative actions, request for a hearing, pleadings, hearing transcript, exhibits, and final orders.
Retention: Final orders: Permanent (0406-0001A); All other documents: 6 years after resolution of case (0406-0001B)
Updated: April 25, 2018
