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SECURITIES DIVISION ENFORCEMENT COMPLAINT FILES

RDA Number
2052
Effective Date
Record Series Abstract
THE RECORDS INCLUDE, BUT ARE NOT LIMITED TO, INVESTOR COMPLAINTS MADE DIRECTLY TO THE SECURITIES DIVISION CONCERNING SPECIFIC GRIEVANCES, AND REPORTS OF INDUSTRY PRACTICES THAT ARE POSSIBLY IN VIOLATION OF THE TENNESSEE SECURITIES ACT OF 1980.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
THE FILES ARE TO BE CUT OFF WHEN CLOSED BY THE HEAD OF THE SECURITIES ENFORCEMENT DIVISION ONCE THE COMPLAINT HAS BEEN RESOLVED.
Total Retention Years
10
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
THE FILES ARE TO BE CUT OFF WHEN CLOSED BY THE HEAD OF THE SECURITIES ENFORCEMENT DIVISION UPON RESOLUTION OF THE COMPLAINT. THE PAPER RECORDS ARE MAINTAINED IN THE AGENCY FOR 3 YEARS. THE PAPER RECORDS WILL THEN BE TRANSFERRED TO THE STATE RECORDS CENTER FOR 7 YEARS, AND DESTROYED BY STATE APPROVED METHODS. ELECTRONIC RECORDS ARE KEPT IN AGENCY FOR TEN YEARS, THEN DESTROYED.
Allotment Code
33505
Record Location
Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway Nashville, TN 37243
File Arrangement
ALPHA/NUMERIC
Date Range
2005 - Present
Annual Accumulation
20 cubic feet; 3 MB
Current Volume
45 cubic feet; just beginning to scan so there is less than 1 MB right now
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
Yes - Original
Essential Record Stored
Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway Nashville, TN 37243
Essential Record Media Type
Electronic
Confidential
No
Confidential Legal Citation
TCA 48-1-118(a) gives the Commissioner the authority to make public or private investigations. In our Investigatory that we use to officially open the investigation, specific language is included indicating that the investigation is private.
Does this Record Series Contain Sensitive Information?
No
Agency Retention
3 YEARS
Records Center Retention Period
7 YEARS
System Name
Network shared volume - ag03sdcwf00507
IT-ABC Number
N/A
Hardware Description
The records are stored on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
Software Description
The records are accessed on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
System Location
The network file share is located in the South Data Center (SDA).
Backup Procedures
Oracle NAS - Daily incremental tape backups - Weekly Full-Backup - done once a week - Monthly-Backup - once completed tape is sent to offsite storage
Disaster Recovery
Oracle NAS Storage - Restore from Incremental-Backup - Restore from Weekly Full-Backup - Restore from Monthly Full-Backup
Data Migration Description
These records are scanned from a copier-scanner
Legacy Revision UUID
553