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- How Compliant is YOUR Email Archive?
- Failure to archive your emails can have dire consequences for your business. Do any of these regulations impact you? Sarbanes-Oxley SOX Act HIPAA Gramm-Leach Bliley Act GLBA Securities and Exchange Commission SEC Rules National Association of Securities Dealers NASD Rules Investment Dealers...
- Resource centers 2008-03-01
- Compliance: SEC 17a-4/NASD 3010/3110
- In the wake of the 1928 stock market crash and the uncovering of widespread securities fraud, the U.S. Congress enacted the Securities Exchange Act of 1934. The Act seeks to protect investors from fraudulent or misleading claims in the securities industry and requires extensive record keeping, reviewing, and auditing by...
- White papers 2007-04-17
- Securities-Industry Regulator Streamlines Development, Delivers Unique Tool
- Seeking a practical way to boost the functionality and versatility of an online tool used by millions of investors, IT executives at NASD deployed a new version of the tool with the help of the Microsoft Visual Studio 2005 development system. Enlisting the product's support for the Master Pages feature...
- Case studies
- Securities Firm Avoids NASD Penalties With FaceTime IMAuditor
- Instant messaging IM is posing supervisory, recordkeeping and compliance challenges for securities trading firms. Though this form of real-time communication may not be as mature as e-mail and paper-based communications, it is not exempt from the compliance standards set forth by the NASD and SEC. FaceTime IMAuditor provides 100% accurate...
- Case studies
Additional Resources
- Secure Medical Email Hosting 2.9.6 (Mac)
- Medical Doctor's HIPAA compliant email, manage PHI and voice transcription. Collaborate with Instant Messaging, File Sharing and Private Message Boards. Send and Receive secure email, share documents and patient information. HIPAA and GLBA compliant. Works across networks and firewalls without a need for expensive VPN, PKI or complicated network setup...
- Software downloads 2009-10-16
- Secure Medical Email Hosting 2.9.6 (Windows)
- Medical Doctor's HIPAA compliant email, manage PHI and voice transcription. Collaborate with Instant Messaging, File Sharing and Private Message Boards. HIPAA and GLBA compliant. Works across networks and firewalls without a need for expensive VPN, PKI or complicated network setup and maintenance. Formally comply with privacy and security provisions of:...
- Software downloads 2009-10-14
- CryptoHeaven 2.9.6 (Mac)
- Send and receive secure and anonymous email. Backup, store and share files online securely. Chat and exchange secure instant messages, create secure message boards. Share document folders through easy to use interface. Communication and collaborate with your co-workers and friends accross networks and firewalls with very high level of security...
- Software downloads 2009-10-13
- Making Sense of Message Archiving Requirements
- There are many regulations that cover Message Archiving and the overall category of Electronic Media. Some of these are industry specific such as Sarbanes-Oxley SOX, SEC regulation 17, NASD 3010, 21CFR part 11 and HIPAA. While many businesses feel like they are not required to adhere to these standards, they...
- White papers 2009-06-11
- SEB Meets New Trading Requirements and Achieves Cross Border Compliance With ZL Unified Archive
- In an active investment banking division at a large financial institution, the Chief Compliance Officer's duties have increased immensely due to new compliance regulations regarding email supervision including SEC 17a-4, NASD 3010, etc. To complicate things further, SEB is required to meet US and EU compliance regulations. As the CCO...
- Case studies 2009-01-15
- Most Commonly Asked Chief Compliance Officer (CCO) Questions and Issues
- The email archiving for compliance space continues to grow and evolve at an almost-alarming rate. New regulations from regulatory bodies such as the SEC and NASD have spent the last few years aggressively fine-tuning their requirements and as a result, organizations, particularly in the financial sector, are having trouble keeping...
- White papers 2008-06-27
- Email Archiving and Discovery Survey
- No longer is email simply an ad hoc communication vehicle. Messages are now considered business records and are expected to be retained and managed like paper records. SEC, NASD, HIPAA and Sarbanes-Oxley regulations, to name a few, specify retention periods of at least three years, under penalty of hefty fines,...
- White papers 2008-06-27
- Data Retention Compliance
- Organizations that do not address data retention requirements face significant fines and penalties that can cripple business or even put an organization out of business. On December 3, 2002, the Securities and Exchange Commission SEC, the New York Stock Exchange NYSE, and NASD announced joint actions against Deutsche Bank Securities,...
- White papers 2007-06-01
- Vonage replaces CEO, still rudderless
- Perhaps Michael Snyder stepped down as CEO of Vonage because he realized he wasnt the best executive for the job. But naming company founder Jeffrey Citron as interim CEO--even for a short time--may not be the best fix either. Why?...
- Blog posts 2007-04-12
- Massive fraud, 'free' trades roil online stock brokerage
- The FBI, the SEC and the NASD are investigating losses at TD Ameritrade and ETrade stemming from “one of the biggest cases of identity theft to strike the U.S. securities industry,” online infiltration of customer accounts by computer hackers in Eastern Europe and Asia, according to Bloomberg reports: In one...
- Blog posts 2006-10-24
- TradeKing CEO talks 'The Real Deal': Web 2.0 meets online trading, exclusive interview
- Donato A. Montanaro, Jr., TradeKing’s founder and CEO, is one of the true electronic brokerage pioneers. He worked in the nascent industry back in 1992 when, he recalls, “online trading meant connecting to a broker through CompuServe with a 1200-baud dial-up modem.”Montanaro was the founder and President of SureTrade, launched...
- Blog posts 2006-09-20
- New pump and dump scheme
- New pump and dump schemeSecurity Breeches Lead to Customer AttritionI will assume that the Investment Dealer's Association of Canada is monitoring and taking action when they suspect that an investor's account is being compromised. With that assumption, notifying invester customers is appropriate, so that the customer can be alert to...
- Discussion threads 2006-08-31
- Kahn Gauthier Swick Vonage suit: fee-hungry underwriters, unsuitable stock
- Once again, I am not a securities attorney, nor an attorney of any kind.But part of my work involves watching Vonage very closely, and reporting on all aspects of the company. I'm also a Vonage customer. From these multiple perspectives I will now take a look at the Kahn...
- Blog posts 2006-06-08
- BULLETIN: Vonage hit with class-action shareholder lawsuit
- Law firm Motley Rice LLC said this evening it has filed a class action lawsuit in the United States District Court for the District of New Jersey on behalf of purchasers of the common stock of Vonage Holdings Corp. The law firm issued a...
- Blog posts 2006-06-02
- OK, Vonage IPO investors may catch a break, but what were you smokin' to begin with?
- There it is. A living, breathing, frank admission on the part of Vonage that the IPO price ($17 a share, now declined to $11.63 at the end of Thursday's trading) was not going to hold up in the short term.I didn't say, and they didn't say might not dilute....
- Blog posts 2006-06-02
- Linux lab hires lawyers for Torvalds
- Linux lab hires lawyers for TorvaldsOnly in the USI can't help but feel that a lawsuit this stupid can only happen in the US. I don't think it would be possible in my countrythe Netherlands to launch a suit saying:"You stole something of mine but I'm not going to tell...
- Discussion threads 2003-11-13
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