The Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) have instituted regulations that demand compliance surrounding the storage of financial records and electronic communications. Specifically, IT departments must implement processes that answer rules including:

• The medium upon which the financial records are stored,
• the period of time the records must be stored, and
• accessibility and retention periods of email and attachments.

Managed Service Offerings for SEC and NASD Compliance

OurEVault™
Business Continuity Plan repository service

OurEVault, specifically developed for NASD firms offers secure off-site storage for Business Continuity Plans (BCPs) and other business-critical information that is easily retrievable when needed.

The recently announced NASD Rule 3510 requires securities firms to create, review and maintain an up-to-date written BCP.

EVault ProMail™
Web-based Email Archiving Service

EVault ProMail is a managed service that captures, monitors, and archives email and attachments for organizations mandated to adhere to regulatory requirements.

Regulations such as SEC Rules 17a-4, 204-2, 31a-2, and NASD 3010 dictate that electronic communications such as email and attachments need to be stored for the proper retention period on non-rewritable, non-erasable storage media. NASD 3110 mandates that securities firms retain and provide easy access to correspondence with its registered representatives.

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