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
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 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.
Andrew Jackson Building, 13th floor
Media Format Generated
Media Format Generated Summary
Media Format Stored
Media Format Stored Summary
1990s to Current
40 Megabyte electronic
10 Gigabyte electronic
Information Shared Outside the State
Documentation is shared with the regulatory agency and consultants (for example, SEC, CFTC, exchanges).
Yes - Original
Essential Record Stored
Essential record is stored in agency database; counterparties and custodians may retain copies.
Essential Record Media Type
Confidential Legal Citation
TCA 8-37-104(a)(10)(C) (Private equity investments)
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Retention Legal Citation
Electronic Records Plan Inventory
System meets or exceeds STS requirements. Information not publicly listed due to security reasons.
System Hardware meets or exceeds STS requirements. Information not publicly listed due to security reasons.
System Software meets or exceeds STS requirements. Information not publicly listed due to security reasons.
System Backup Procedures meet or exceed STS requirements. Information not publicly listed due to security reasons.
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.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 11092 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Agency concurs with recommendations.
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.