Patch Test 03/2026 B

100-RICR-10-00-86469 ACTIVE RULE

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14.1Securities Division

DBR1.1	Broker-Dealer Documents Registrations/Applications submitted to division by those applying to be a broker-dealer in Rhode Island.
	A.	Hard Copy-Forms 301 and 301A Application forms submitted to DBR prior to 1983 when registration was a state function.
		Retention:		Shred now.
		Note:		Function ceased in 1983.
	B.	Current Registration Record Beginning in 1983, these registrations are submitted through the Central Registration Depository (“CRD”) computer system and maintained by the National Association of Securities Dealers (NASD). DBR has only approval function which is accomplished electronically.
		Retention:		Record held by NASD.
DBR1.2	CRD Conversion Books Alphabetical list of securities dealers and individuals which were not converted to the CRD computer system that was implemented in 1983, due to their leaving the securities business prior to the conversion. Records have not been created since 1983 and include the individual’s name, corporate name, social security number, CRD number and firm identification.
	Retention:		Destroy in 2034.
DBR1.3	Broker (salesperson) Registration Cards This record of registration includes individual’s name and address, employing broker and registration and renewal date.
	A.	Hard copy-yellow card
		Retention:		Destroy in 2034.
		Note:		Superseded by CRD record below since 1983.
	B.	Current Registration Record Contained as part of the CRD computer system.
		Retention:		Record held by NASD.

14.2Banking Division

DBR2.1	Applications to Board of Bank Incorporation and the Director of Department of Business Regulation Applications and requests to Board of Bank Incorporation and the Director for new bank or credit union charter, charter amendments, by-law amendments, establishment of branches, branch relocations, mergers and acquisitions, purchase of assets and assumption of liabilities, change of control, automated teller machines, and voluntary liquidations. Files contain documentation to support decisions rendered. (Decisions can be found in active charter file.)
	Retention:	Permanent.
DBR2.2	Active Charters-Regulated Institutions Records provide documented evidence of a regulated bank or credit union’s authority to conduct business. File includes but is not limited to original charter with related decision and orders and copies of approvals and/or decisions and orders relative to requests for branches, ATM’s, charter amendments, by-law amendments, change in control, and mergers and acquisition, bond, and by-laws for active regulated banks and credit unions.
	Retention:	Maintain until charter surrendered, then transfer to surrendered or revoked charter file.
DBR2.3	Surrendered or Revoked Charters- Regulated Institutions Records provide documented evidence of a regulated bank or credit union’s authority to conduct business. File includes but is not limited to original charter with related decision and orders and copies of approvals and/or decisions and orders relative to requests for branches, ATM’s, charter amendments, by-law amendments change in control, and mergers and acquisition, bond, and by-laws for regulated banks and credit unions that have either closed, converted to a federal charter, merged with another institution, surrendered their charter or liquidated.
	Retention:	Permanent.

14.3Racing and Athletics Division

14.3.1Jai Alai

DBR3.1.1	Playing Dates Requests Yearly letter from Jai Alai Fronton requesting playing dates for the following year. File may include but is not limited to request letter, hearing transcripts and all documents entered into evidence, including Fronton’s annual audit report and the decision/order issued by the director approving the proposed schedule.
	Retention:	Retain seven (7) years.
DBR3.1.2	Active Occupation Licenses License applications for all employees of the Fronton, including but not limited to vendors, inactive judges, players and managers. File includes original application, BCI cards and BCI reports, all annual renewal applications, subsequent BCI reports, correspondence, copies of licenses, badge information, and related administrative decisions and orders (most often related to player suspensions and/or fines).
	Retention:	Retain until license surrendered or revoked, then transfer to occupation licenses.
DBR3.1.3	Inactive Occupation Licenses License applications for all employees of the Fronton, including but not limited to vendors, inactive judges, players and managers. File includes original application, BCI cards and BCI reports, all annual renewal applications, subsequent BCI reports, correspondence, copies of licenses, badge information, and related administrative decisions and orders (most often related to player suspensions and/or fines).
	Retention:	Retain ten (10) years.

14.3.2Dog Racing

DBR3.2.1	Playing Dates Requests Yearly letter from Dog Racing Facilities requesting playing dates for the following year. File may include but is not limited to request letter, hearing transcripts and all documents entered into evidence, and the decision/order issued by the director approving the proposed schedule.
	Retention:	Retain seven (7) years.
DBR3.2.2	Active Occupation Licenses License applications for all employees of the Dog Racing Facility, including but not limited to vendors, judges, trainers and managers, and dog registrations. File includes original application, BCI cards and BCI reports, all annual renewal applications, subsequent BCI reports, correspondence, copies of licenses badge information, related administrative decisions and orders.
	Retention:	Retain until license surrendered or revoked, then transfer to inactive occupation licenses.
	Retention:	Retain ten (10) years.

14.6Central Management

Title	100	Department of State
Chapter	10	Administration
Subchapter	00	N/A
Part	86469	Patch Test 03/2026 B

Type of Filing	Direct Final Adoption
Regulation Status	Active
Effective	03/27/2026
Additional Information	https://sos.ri.gov

Regulation Authority:

R.I. Gen. Laws § 68465

Purpose and Reason:

Patch Test 03/2026 B

ACTIVE RULE Adoption - effective from 03/27/2026 to Current

Rulemaking Documents are organized by document type and are part of this rule’s rulemaking record (R.I. Gen. Laws § 42-35-2.3). If multiple documents of the same type are listed below, each is a unique document. If there are multiple Public Notice of Proposed Rulemaking documents, view each document to identify the most recently amended version, as it may be amended at any point during the Public Comment Period.

Concise Explanatory Statement
Public Comment
Public Notice of Proposed Rulemaking
Proposed Rule

DBR6.3.10	Litigation Files All files and materials regarding ongoing, threatened, or proposed civil or criminal litigation. Files do not include administrative appeals, but may include cases where Department employees have been subpoenaed to testify in cases not directly involving the Department.
	Retention:	Retain ten (10) years from final resolution.
DBR6.3.11	Labor and Employment
DBR6.3.11.1	Personnel Grievance Case Files Documents relating to grievances filed by department employees. File may include but is not limited to correspondence, memos, legal motions, opinion, termination notices, grievance forms, complaint forms, and arbitration awards.
	Retention:	Retain file ten (10) years from final resolution. Retain all arbitration decisions permanently.

DBR6.3.10	Litigation Files All files and materials regarding ongoing, threatened, or proposed civil or criminal litigation. Files do not include administrative appeals, but may include cases where Department employees have been subpoenaed to testify in cases not directly involving the Department.
	Retention:	Retain ten (10) years from final resolution.
DBR6.3.11	Labor and Employment
	DBR6.3.11.1		Personnel Grievance Case Files Documents relating to grievances filed by department employees. File may include but is not limited to correspondence, memos, legal motions, opinion, termination notices, grievance forms, complaint forms, and arbitration awards.
			Retention:	Retain file ten (10) years from final resolution. Retain all arbitration decisions permanently.