Thanks Jesse and those that have already responded.  I have the CFR's and
5015.2 bookmarked.  I have a feeling he was referring to the 5015.2
compliant product register.  

I'd still be interested if the SEC actually provides certification for
specific products.

Bob Dalton, CRM
Dalton Consulting

-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf
Of Jesse Wilkins
Sent: Thursday, November 09, 2006 4:00 PM
To: [log in to unmask]
Subject: Re: [RM] SEC Requirements

DoD does do certification of the vendors - it's a pretty rigorous process. 
DoD 5015: http://jitc.fhu.disa.mil/recmgt/p50152s2.pdf
The test procedures: http://jitc.fhu.disa.mil/recmgt/ch2v7_5.doc
The registry of certified products:
http://jitc.fhu.disa.mil/recmgt/register.html

However, I am unaware of any certification regime done by or required by
SEC, but there are some particular recordkeeping requirements. The most
likely suspects are the requirements found within SEC 17a-3 and 17a-4
(properly  17 CFR 240.17a-3 and  17 CFR 240.17a-4), addressing things like
non-rewritable, non-erasable storage, keeping a second copy of the indexes,
etc. 

Hope this helps, 

Jesse Wilkins

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