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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 959
Database ID: 141
Record Series Title: SECURITIES REGISTRATION STATEMENTS, REGISTRATION DOCUMENTS, EXEMPTION AND NOTICE FILES
Record Series Abstract: FILES CONSIST OF, BUT ARE NOT LIMITED TO, REGISTRATION STATEMENTS, PROSPECTUSES, ORGANIZATIONAL DOCUMENTS, REGISTRATION STATEMENTS, STATEMENTS OF ADDITIONAL INFORMATION, SPECIMENS OF SECURITIES, FINANCIAL REPORTS, AND OTHER SUPPORTING DOCUMENTATION.
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 10 Years 0 Months
Retention End Action: Destroy
Disposition Notes: THE FILES ARE TO BE CUT OFF AT THE END OF EACH CALENDAR YEAR, THEN MAINTAINED IN THE AGENCY FOR ONE YEAR. THE RECORDS ARE THEN TRANSFERRED TO THE STATE RECORDS CENTER AND HELD FOR NINE YEARS, THEN DESTROYED BY STATE APPROVED METHODS.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 141
Record Location: Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway Nashville, TN 37243
File Arrangement: ALPHA/NUMERIC
Media Format Generated: Paper
Media Format Stored: PAPER
Date Range: 2005-Present
Annual Accumulation: 20 cubic feet
Current Volume: 300 cubic feet
Record Value: Administrative, Fiscal, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 30
Past Year: 100
2 - 5 Years: 10
Over 5 Years: 5
Data Update Frequency: Weekly
Information Shared Outside of State: No
If Shared, List Agencies:
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: Paper
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 1 year
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 1 year
Records Center Retention Period: 9 years
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 48-1-105 THROUGH 48-1-107; AND TCA 48-1-113
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: N/A
IT-ABC Number:
Hardware Description:
Software Description:
System Location:
Backup Procedures:
Disaster Recovery:
Data Migration Description:
Metadata Description:
Contact Information
Contact Name: ERICA SMITH
Job Title: RECORDS OFFICER
Address 1: 500 JAMES ROBERTSON PKWY
Address 2:
City: NASHVILLE
Zip: 37243
Phone: 615-253-8397
Email: ERICA.SMITH@TN.GOV
Agency: Dept. of Commerce and Insurance
Agency Head: JULIE MIX MCPEAK
Director: FRANK BORGER-GILLIGAN
Allotment Code: 33505
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 02-04-2016 No recommended changes.
Tennessee State Libary and Archives: 02-04-2016 No recommended changes.
Comptroller Audit Review: 2016-02-04 We have reviewed RDA 959 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 02-08-2016 Thank you.
RMD Director Recomendations: 02-11-2016 RDA 959 is a request to revise an RDA. The Abstract, Disposition, and Worksheet have been updated. The retention period will remain ten years. The format will remain paper. Recommend approval of request to revise RDA 959.
Signed Form Received: 2016-02-11
PRC Meeting Date: 02-25-2016
PRC Comments: PRC approves RDA 959.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
141 959 2016-02-25 Approved
2285 959 2017-09-07 Approved