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Securities Division Enforcement Watch Files

RDA Number
Effective Date
Record Series Abstract
The records consist of, but are not limited to, information concerning various industry practices that are possibly in violation of the Tennessee securities act of 1980. These files do not constitute a complaint file, but instead are opened at the discretion of the head of the securities enforcement division and routinely checked for possible violations until the division head takes the record off of the watch list. At that point, the record is closed or the record becomes a complaint file, which would be covered and superseded by RDA 2052 (securities complaint files).
Record Series Active
Cut Off at End of
If Other, Explain
Once the record is taken off the watch list.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records will be kept in agency for 5 years from the time the record is taken off the Watch List. The records will be kept either in paper or electronic format as long, as the electronic file has been verified for accuracy and completeness.
Record Location
Department of Commerce and Insurance 500 James Robertson Parkway, Nashville, TN 37243 Davy Crockett Tower 500 James Robertson Parkway, 8th Floor Nashville, TN 37243
File Arrangement
Date Range
Allotment Code
Annual Accumulation
1 cubic foot 1 GB
Current Volume
26 cubic feet
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Essential Record Media Type
Confidential Legal Citation
TCA 48-1-118(a)
Does this Record Series Contain Sensitive Information?
Agency Retention
5 years
Records Center Retention Period
System Name
Network shared volume - ag03sdcwf00507
Hardware Description
The records are stored on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
Software Description
The records are accessed on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
System Location
The network file share location is located in the South Data Center (SDA)
Backup Procedures
Oracle NAS. Daily incremental tape backups -- Weekly Full backups, done once a week -- Monthly backups done once computer tape is sent to offsite storage.
Disaster Recovery
Oracle NAS Storage. Restore from incremental backup -- Restore from Weekly Full backup -- Restore from Monthly Full backup
Data Migration Description
These records are scanned from a copier-scanner
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 2051 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Agency concurs with no recommended changes.
RMD Director
RDA 2051 is a request to revise an RDA. The retention period will remain five years and destroy. The format will change to paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 2051.
Public Records Commission
PRC approves RDA 2051.