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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2051
Database ID: 552
Record Series Title: SECURITIES DIVISION ENFORCEMENT WATCH FILES
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 AT THAT POINT, THE RECORD IS CLOSED OR THE RECORD BECOMES A COMPLAINT FILE, WHICH WOULD BE COVERED AND SUPERSEDED BY RDA 2052 (SECURITIES COMPLAINT FILES).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: 5 Years 0 Months
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.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 552
Record Location: Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway, 8th Floor Nashville, TN 37243
File Arrangement: ALPHA/NUMERIC
Media Format Generated: Paper
Media Format Stored: PAPER
Date Range: 2010-Present
Annual Accumulation: 1 cubic foot
Current Volume: 26 cubic feet
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 10
Past Year: 5
2 - 5 Years: 1
Over 5 Years: 0
Data Update Frequency: Monthly
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: No
Essential Record Stored:
Essential Record Media Type:
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 5
Records Center Retention Period: N/A
Final Disposition after Retention Expires: Destroy
Legal Citation:
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 Parkway
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 2051 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 2051 is a request to revise an RDA. The Abstract, Disposition, and Worksheet have been updated. The retention period will change from zero years to five years. The format will remain paper. Recommend approval of request to revise RDA 2051.
Signed Form Received: 2016-02-11
PRC Meeting Date: 02-25-2016
PRC Comments: PRC approves RDA 2051.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
552 2051 2016-02-25 Approved
2278 2051 2017-09-07 Approved