An official website of the Tennessee Secretary of State.
Core Data
RDA Number
11092
Effective Date
Record Series Abstract
Record series consists of documents related to the investment and trading activity conducted by the Investments Division. Documents include, but are not limited to: best execution practices; commissions, soft dollar, and trading allocations; trade tickets; trade confirmations; trade blotters; trading authorizations; trade errors (not including good fails); written investment rationale; proxy documentation; and e-mails, instant messages, and other records related to the order placement, negotiation, execution, and/or confirmation of the transaction.
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 settlement date, and stored for 10 years. However, information entered into the fields of the agency database is stored permanently to comply with federal regulatory and exchange requirements.
Worksheet
Record Location
Andrew Jackson Building, 13th floor
File Arrangement
Numeric
Media Format Generated
Electronic
Media Format Generated Summary
Electronic: Text
Media Format Stored
Electronic
Media Format Stored Summary
Electronic: Text
Date Range
1990s to Current
Agency
Allotment Code
309
Annual Accumulation
40 Megabyte electronic
Current Volume
10 Gigabyte electronic
Record Value
Administrative
Fiscal
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Documentation is shared with the regulatory agency and consultants (for example, SEC, CFTC, exchanges).
Essential Record
Yes - Original
Essential Record Stored
Essential record is stored in agency database; counterparties and custodians may retain copies.
Essential Record Media Type
Electronic
Confidential
Yes
Confidential Legal Citation
TCA 8-37-104(a)(10)(C) (Private equity investments)
Does this Record Series Contain Sensitive Information?
Yes
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)
03-31-2022
No recommended changes.
Tennessee State Library and Archives
03-31-2022
No recommended changes.
Comptroller Audit Review
04-05-2022
We have reviewed RDA 11092 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
04-05-2022
Agency concurs with recommendations.
RMD Director
04-11-2022
RDA 11092 is a request to revise an RDA. The retention period will remain permanent. The format will be electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise RDA 11092.
Public Records Commission
04-25-2022
PRC approves RDA 11092