As a brokerage firm, Abel/Noser is subject to the regulations of the Securities Exchange Commission (SEC), the National Association of Securities Dealers (NASD), and the New York Stock Exchange (NYSE). Abel/Noser needed to comply with SEC Rules 17a-3 and a-4, as well as NASD 3010 and 3110, requiring brokerage firms to retain, archive, easily retrieve, monitor, and show proof of monitoring electronic communications, including email and more recently instant messaging. LEGATO's comprehensive email management solutions - including EmailXtender, EmailXaminer, and DiskXtender - were implemented to provide email, instant messaging, and attachment capture, indexing, archiving, and retrieval, as well as monitoring and supervisory review in compliance with all applicable email-related regulatory requirements.
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