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Investment Regulatory Documentation

RDA Number
11091
Effective Date
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
Yes
Cut Off at End of
Fiscal Year
Total Retention Years
10
Total Retention Months
0
Retention End Action
Permanent
Disposition Notes
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.
Allotment Code
309
Record Location
Andrew Jackson Building, 13th floor
File Arrangement
alpha and numeric
Date Range
1990s to current
Annual Accumulation
20 Megabyte electronic
Current Volume
166 Megabyte electronic
Record Value
Administrative
Fiscal
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Files are shared with the regulatory agency, i.e., the SEC.
Essential Record
Yes - Original
Essential Record Stored
Files are stored in agency electronic file share; the regulatory agency may maintain copies.
Essential Record Media Type
Electronic
Confidential
No
Confidential Legal Citation
N/A
Does this Record Series Contain Sensitive Information?
No
Agency Retention
10 years
Records Center Retention Period
N/A
Record Sample PDF
1991.sample.pdf28.43 KB
System Name
Agency Shared Drive Server
Hardware Description
standard server array
Software Description
Documents are stored in PDF format on agency shared drives.
System Location
System is located in the agency office in the Andrew Jackson Building.
Backup Procedures
Files are backed up daily. Full procedures are on file with the Treasury IT division.
Disaster Recovery
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
1991