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Securities Division Enforcement Case Files

RDA Number
2053
Effective Date
Record Series Abstract
Files contain legal case work involving violations of the Tennessee Securities Act of 1980. Contents may include, but are not limited to, written complaints to the Securities Division, Investor Complaint Questionnaires, and documentary evidence used in prosecution.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
When the case is closed by the Director of the Financial Services Investigations Unit
Total Retention Years
10
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Active files shall be retained in the Securities Division until closed by the Financial Services Investigations Unit Director. After files are closed, all paper records are scanned and kept electronically in the Securities Division. The paper copy will be destroyed after the scan has been checked and verified for completeness and accuracy, and the electronic record will be maintained on Server for 10 years then destroyed.
Allotment Code
335.05
Record Location
DAVY CROCKETT TOWER: 500 JAMES ROBERTSON PARKWAY, 8TH FLOOR, NASHVILLE, TN 37243
File Arrangement
Alpha Numeric
Date Range
1980 to current
Annual Accumulation
2 GB
Current Volume
10 GB
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
Yes - Original
Essential Record Stored
The network file share is located in the South Data Center (SDA).
Essential Record Media Type
Electronic
Confidential
No
Confidential Legal Citation
TCA 23-3-105
Does this Record Series Contain Sensitive Information?
No
Agency Retention
10
Records Center Retention Period
0
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
554