SEC Rules Relating to Use of Electronic Communication and Recordkeeping Technologies

[Guest Sparky]

My fairly narrow question is this: What SEC rules/regulations govern E-mails and other electronic communications that are sent, received, and stored by TPAs in the daily valuation environment? Specifically:

· Security Requirements. When a TPA transmits an electronic communication that contains information on trades, what are the security requirements?

· Archive Requirements. When a TPA stores an electronic communication that contains information on trades, what are the archive requirements?

· Authentication Methods. What authentication methods must a TPA use to verify that an electronic communication came from a specific, valid source?

I am assuming that the TPA: Only serves as a recordkeeper; and, trades only through a trading partner. The rules/regulations I’m looking for are in addition to the IRS and DoL rules.

Thanks in advance for any insights!