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Securities Registration Statements, Registration Documents, Exemption and Notice Filings

RDA Number
Effective Date
Record Series Abstract
Record Series consists of but is not limited to registration statements, prospectuses, organizational documents, statements of additional information, specimens of securities, financial reports, and other supporting documentation.
Record Series Active
Cut Off at End of
Calendar Year
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records are to be cut off at the end of each calendar year, Records are generated and stored in paper or electronic format. Paper records will be maintained in the agency for one year. The records are then transferred to the state records center and held for nine years. Following the end of their retention paper records will be destroyed according to state approved methods. Electronic records will be kept in agency for the full ten year retention and then destroyed according to state approved methods
Record Location
Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Pkwy, Nashville, TN 37243
File Arrangement
Date Range
Allotment Code
Annual Accumulation
20 cubic feet, 1 GB
Current Volume
310 cubic feet, 3 GB
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Yes - Original
Essential Record Stored
Department of Commerce and Insurance Davy Crockett Tower, 8th Floor 500 James Robertson Parkway Nashville, TN 37243
Essential Record Media Type
Does this Record Series Contain Sensitive Information?
Agency Retention
1 year
Records Center Retention Period
9 years
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 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
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 959 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 959 is a request to revise an RDA. The retention period will remain ten 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 959.
Public Records Commission
PRC approves RDA 959.