Backup Regulatory Compliance | Advanced Backup Solutions NASD

SEC–NASD Data Compliance

The Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) maintain institutional regulations requiring member firms to establish, maintain, and regularly test business continuity plans for the protection, storage, and recovery of financial records and electronic communications. These regulations are designed to ensure data availability, integrity, and supervisory oversight in the event of system outages, cyber incidents, or natural disasters.

Firms must demonstrate the ability to securely store records offsite, preserve data integrity, and rapidly restore information to support regulatory audits, customer protection, and operational resilience.

Achieve SEC–NASD Data Compliance with ABS

ABS supports SEC–NASD compliance by delivering secure, resilient backup and disaster recovery solutions purpose-built for financial services organizations.

Compliance-Ready Capabilities Include:

Strong encryption ensuring stored information is protected and accessible only by the owning firm
Secure offsite storage across geographically diverse data centers, aligned with GLBA data protection standards
Rapid, point-in-time data recovery to meet business continuity and regulatory expectations
Detailed audit reporting, including user access logs and date- and time-stamped activity records
Support for ongoing business continuity testing and recovery validation

Built for Regulatory Confidence

With ABS, financial firms gain a dependable foundation for SEC–NASD-aligned data protection, disaster recovery, and audit readiness, helping reduce regulatory risk while ensuring uninterrupted access to critical records.

Contact ABS today to learn how our compliance-ready data protection solutions can support your industry.

Request a Demo

Requirements & Standards

SEC/NASD Requirements

Verify automatically the quality and accuracy of the storage media recording process.
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.
Have the capacity to readily download indexes and records preserved on the electronic storage media to any acceptable medium.
Store separately from the original a duplicate copy of the record stored on any medium acceptable for the required time.

ABS Compliance Standards

Data is verified automatically each time a backup occurs.
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.
Data is available for restore 24x7x365. Recovery is hardware independent. All backups are stored with catalogs (indexes) and are accessible at all times.
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.

SEC/NASD DATA COMPLIANCE

SEC–NASD Data Compliance

Achieve SEC–NASD Data Compliance with ABS

Built for Regulatory Confidence

Requirements & Standards

SEC/NASD Requirements

ABS Compliance Standards

Schedule a Demo

Products & Solutions

Company

Support