Record Series Abstract
The records consist of, but are not limited to, information concerning various industry practices that are possibly in violation of the Tennessee securities act of 1980. These files do not constitute a complaint file, but instead are opened at the discretion of the head of the securities enforcement division and routinely checked for possible violations until the division head takes the record off of the watch list. At that point, the record is closed or the record becomes a complaint file, which would be covered and superseded by RDA 2052 (securities complaint files).
Record Series Active
Cut Off at End of
If Other, Explain
Once the record is taken off the watch list.
Total Retention Years
Total Retention Months
Retention End Action
Records will be kept in agency for 5 years from the time the record is taken off the Watch List. The records will be kept either in paper or electronic format as long, as the electronic file has been verified for accuracy and completeness.
Department of Commerce and Insurance 500 James Robertson Parkway, Nashville, TN 37243 Davy Crockett Tower 500 James Robertson Parkway, 8th Floor Nashville, TN 37243
1 cubic foot 1 GB
26 cubic feet
Information Shared Outside the State
Essential Record Media Type
Confidential Legal Citation
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Retention Legal Citation
Legal Citation PDF
Network shared volume - ag03sdcwf00507
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.
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.
The network file share location is located in the South Data Center (SDA)
Oracle NAS. Daily incremental tape backups -- Weekly Full backups, done once a week -- Monthly backups done once computer tape is sent to offsite storage.
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