An official website of the Tennessee Secretary of State.
Core Data
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.
Worksheet
Record Location
Andrew Jackson Building, 13th floor
File Arrangement
alpha and numeric
Media Format Generated
Electronic
Media Format Stored
Electronic
Date Range
to
Agency
Allotment Code
309
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
Retention Legal Citation
N/A
Electronic Records Plan Inventory
System Name
System meets or exceeds STS requirements. Information not publicly listed due to security reasons.
Hardware Description
System Hardware meets or exceeds STS requirements. Information not publicly listed due to security reasons.
Software Description
System Software meets or exceeds STS requirements. Information not publicly listed due to security reasons.
Backup Procedures
System Backup Procedures meet or exceed STS requirements. Information not publicly listed due to security reasons.
Disaster Recovery
System Disaster Recovery meets or exceeds STS requirements. Information not publicly listed due to security reasons.
Data Migration Description
System Data Migration meets or exceeds STS requirements. Information not publicly listed due to security reasons.
RDA Comments
Records Management Division (RMD)
02-26-2015
No recommended changes.
Tennessee State Library and Archives
02-26-2015
No recommended changes.
Comptroller Audit Review
02-27-2015
We have reviewed RDA 11091 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
03-02-2015
Agency concurs.
RMD Director
03-04-2015
RDA 11091 is a request for a new RDA. The retention period will be ten years and permanent. The format will be electronic. Recommend approval of RDA 11091.
Public Records Commission
03-30-2015
Approved by the PRC.