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Broker-Dealer, Investment Adviser, Agent, Investment Adviser Representative, and Oil and Gas Issuer-Dealer Files

RDA Number
897
Effective Date
Record Series Abstract
The records series consist of, but is not limited to, applications and exhibits, renewal applications, financial data, and other supplemental information
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
Calendar year in which business or agent becomes inactive in Tennessee
Total Retention Years
7
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Records are generated and stored in either paper or electronic format. Maintain paper records in agency for 2 years, then transfer paper records to State Records Center and hold for 5 years, at then end of their retention paper records will be destroyed by state approved methods. Electronic records will be kept in the agency for seven years and then destroyed by state approved methods.
Allotment Code
335.05
Record Location
Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Parkway Nashville, TN 37243
File Arrangement
Alpha/Numeric
Date Range
1950 - Current
Annual Accumulation
10 cu. ft.; 2 MB
Current Volume
300 cu.ft; 1.8 GB
Record Value
Administrative
Fiscal
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
Yes - Original
Essential Record Stored
Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Parkway Nashville, TN 37243
Essential Record Media Type
Paper
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
2 years
Records Center Retention Period
5 years
Record Sample PDF
System Name
Network shared volume - ag03sdcwf00507
IT-ABC Number
N/A
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 is located in the South Data Center (SDA).
Backup Procedures
Oracle NAS - Daily incremental tape backups - weekly full backup - done once a week - monthly backup - once completed tape is sent offsite to storage
Disaster Recovery
Oracle NAS Storage - Restore from Incremental-Backup - Restore from weekly Full-Backup - Restore from monthly Full-Backup
Legacy Revision UUID
2284