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Access "SEC Gives Nod to Some Disk-based Archive"

Published: 16 Oct 2012

In the riveting world of federal regulations surrounding data archival, the SEC's 17a-3 and 17a-4 stand out from the rest. Describing what, how long and in what manner broker-dealers must archive data, these regulations are "viewed as the benchmark to hit," says Peter Gerr, senior research analyst at the Enterprise Storage Group. "If you can satisfy them, you're likely to satisfy the rest of them." Last month, the SEC issued a new interpretation of 17a-4, which has long confused CIOs over what constitutes a valid storage medium. While the document states that archival systems must "preserve the records exclusively in a non-rewriteable, non-erasable format," it doesn't specify whether that means storage media that is inherently non-erasable and non-rewriteable--e.g., write-once read-many (WORM) optical platters --or whether certain software/hard disk drive-based systems might also fit the bill? An initial read suggests that the SEC has ruled that certain disk-based systems, provided they meet certain criteria, may be acceptable. According to ESG's Gerr, the ... Access >>>

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