Record Series Abstract
Record series consists of documents related to regulatory requests or filings made due to a regulatory requirement. Files include, but are not limited to: Requests for Information from the Securities and Exchange Commission (SEC), FINRA, MSRB, CFTC, etc.; Section 13 Filings; and filings made via EDGAR.
Record Series Active
Cut Off at End of
Total Retention Years
Total Retention Months
Retention End Action
Files are cut off at the end of the fiscal year of the filing date, and stored for 10 years. If documents have been amended, the retention period is 10 years from the date of amendment. However, information entered into the fields of the agency database is stored permanently to comply with IRS guidelines and audit requirements.
Andrew Jackson Building, 13th floor
alpha and numeric
1990s to current
20 Megabyte electronic
166 Megabyte electronic
Information Shared Outside the State
Files are shared with the regulatory agency, i.e., the SEC.
Yes - Original
Essential Record Stored
Files are stored in agency electronic file share; the regulatory agency may maintain copies.
Essential Record Media Type
Confidential Legal Citation
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Retention Legal Citation
Record Sample PDF
Agency Shared Drive Server
standard server array
Documents are stored in PDF format on agency shared drives.
System is located in the agency office in the Andrew Jackson Building.
Files are backed up daily. Full procedures are on file with the Treasury IT division.
Detailed DR procedures for Treasury's file share are located in the Treasury Recovery Planner.
Data Migration Description
Detailed plans for migrating Treasury's records are on file with the Treasury IT division.
Legacy Revision UUID