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SECURITIES DIVISION ENFORCEMENT WATCH FILES

RDA Number
2051
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 AT THAT POINT, THE RECORD IS CLOSED OR THE RECORD BECOMES A COMPLAINT FILE, WHICH WOULD BE COVERED AND SUPERSEDED BY RDA 2052 (SECURITIES COMPLAINT FILES).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
Yes
Cut Off at End of
Other
If Other, Explain
ONCE THE RECORD IS TAKEN OFF THE WATCH LIST.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
THE FILES WILL BE KEPT IN AGENCY FOR 5 YEARS FROM THE TIME THE RECORD IS TAKEN OFF THE WATCH LIST, THEN DESTROYED BY STATE APPROVED METHODS.
Allotment Code
33505
Record Location
Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway, 8th Floor Nashville, TN 37243
File Arrangement
ALPHA/NUMERIC
Date Range
2010-Present
Annual Accumulation
1 cubic foot
Current Volume
26 cubic feet
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5 years
Records Center Retention Period
N/A
System Name
N/A
Legacy Revision UUID
552