Partner with a leader in Data Protection, Business Continuity, and Disaster Recovery.

SEC/NASD Data Compliance

The SEC and NASD maintain institutional regulations that govern compliance for members to possess and test business continuity plans for the storage of financial records and electronic communications in the case of an outage or natural disaster.

Achieve SEC/NASD Data Compliance


  • Stored information is encrypted and can only be accessed by the firm who owns the data.
  • Files are securely stored at geographically diverse datacenters, in accordance with GLBA standards.
  • Data can be restored swiftly and accurately to a specific point-in-time.
  • Reporting provides a clear audit trail with user access date and time-stamp detail.

SEC/NASD REQUIREMENTS
ABS COMPLIANCE STANDARDS

Verify automatically the quality and accuracy of the storage media recording process.

  • Data is verified automatically each time a backup occurs.

Serialize and time-date units of the storage media for the required retention period in which the information stored on such electronic storage media exists.

If data is restored to a customer's system, the original copy is stored in the exact state until the retention period expires, whether that period is one day or seven years.

Reporting gives regulators a custody chain of the stored information with user access date and time stamp detail.

Have the capacity to readily download indexes and records preserved on the electronic storage media to any acceptable medium.

Data is available for restore 24x7x365. Recovery is hardware independent. All backups are stored with catalogs (indexes) and are accessible at all times.

Store separately from the original a duplicate copy of the record stored on any medium acceptable for the required time.

  • The ABS platform uses a process that backs up the original and duplicates to remote locations. This process ensures the original data and duplicate copies are identical. The data is stored on fault-tolerant disk media.

Note: ABS does not have access to the stored contents. It is the customers responsibility for data maintenance to be in accordance with SEC/NASD standards.