Compliance with the SEC/NASD

The rules and regulations of the SEC/NASD or the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD), outline the processes that involve the storage of financial records and electronic communications.

All IT departments in the various covered entities must comply with the SEC/NASD and ensure the proper following of rules and regulations surrounding the storage of electronic communications. SEC/NASD compliance ensures that there are no security or legal breaches and that the information is stored and accessed in a secure manner.

Our online back up system complies with the SEC/NASD regulations in that the data is backed up and stored in a secure and ecrypted manner. Access to the data is restricted to only authorized users and the data is available and accessible to the authorized users at all times, 24/7, everyday of the year. Our system ensures that the data is safe within our storage network, which has multiple levels of redundancy.

For more information regarding the Securities laws, see the Securities and Exchange Commission's website.

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