SEC Data Delivery Specs


The standards that the SEC specifies for electronic productions are an excellent reference point when attempting to show general standards that are adhered to in the legal community. See: https://www.sec.gov/divisions/enforce/datadeliverystandards.pdf

Some of the less obvious are listed below:

1. The data needs to be produced in a format that can be loaded into Concordance.

2. The number of TIFF files or native files per folder should not exceed 500 files.

3. The files must be produced as they are maintained in the normal course of business and organized by custodian-named file folders.

4. Outlook and Lotus Notes emails can be produced in native format

5. Specific meta data is needed for audio files.

6. The preferred delimiter is a vertical bar "|".

7. Meta data from several different fields including the file path, MD5 hash values, and the source custodian's name are required.

8. The unique IMEI (International Mobile Equipment Identification - for a specific mobile phone), and IMSI (International Mobile Subscriber Indentification - for SIM cards)Originating and Terminating numbers for Text Messages and other mobile phone data activity must be produced.

The standards that the SEC specifies for electronic productions are an excellent reference point when attempting to show general standards that are adhered to in the legal community. See: https://www.sec.gov/divisions/enforce/datadeliverystandards.pdf

Some of the less obvious are listed below:

1. The data needs to be produced in a format that can be loaded into Concordance.

2. The number of TIFF files or native files per folder should not exceed 500 files.

3. The files must be produced as they are maintained in the normal course of business and organized by custodian-named file folders.

4. Outlook and Lotus Notes emails can be produced in native format

5. Specific meta data is needed for audio files.

6. The preferred delimiter is a vertical bar "|".

7. Meta data from several different fields including the file path, MD5 hash values, and the source custodian's name are required.

8. The unique IMEI (International Mobile Equipment Identification - for a specific mobile phone), and IMSI Originating and Terminating (International Mobile Subscriber Indentification - for SIM cards) numbers for Text Messages and other mobile phone data activity must be produced.


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