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
CDIA+, LIT, ICP, edp, ermm, ecms
IMERGE Consulting
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(303) 574-1455 office
(303) 484-4142 fax
YIM: jessewilkins8511
Looking for the latest education on electronic records, email, and imaging?
Visit http://www.imergeconsult.com/schedule2.html for a current schedule of
courses. 


-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf
Of bobd
Sent: Thursday, November 09, 2006 4:37 PM
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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