Which SEC Requirements - Broker/Dealer as in 17(a)(4), etc., or SROs as in
17(a)(1) and (6), or another regulated type of group?

When last I heard (while at NASD about a year ago) they had not, and did not
plan to, certify or recommend any particular system(s).

Tod Chernikoff, CRM

-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf Of
bobd
Sent: Thursday, November 09, 2006 18:37
To: [log in to unmask]
Subject: [RM] SEC Requirements

Does anyone have a bookmarked website that may contain some of the newer SEC
recordkeeping requirements.  My interest was aroused based on the following
conversation with a company representative who 

asked me was if it was true that the SEC has a list of vendors with a
document management system that have been certified to meet the
recordkeeping requirements for the SEC.

As far as I know I do not believe any government agency bestows
certifications and/or make recommendations on vendors.  The closes I would
guess would the DOD 5015.2 which is a register of companies that meet their
guidelines for a RM system.

Am I off base here?  

Bob Dalton, CRM

Dalton Consulting


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