SEC / FINRA Regulations

Value Proposition: Why Choose AdVran for SEC/FINRA?

SEC Rule 17a-4 and FINRA Rules 3110/4511 require broker-dealers to retain electronic communications in WORM-compliant storage. Non-compliance risks enforcement actions, fines, and loss of registration.

1. WORM-Compliant Archiving

We deploy and manage Write Once, Read Many (WORM) storage solutions that satisfy SEC Rule 17a-4 requirements. All electronic communications—email, instant messages, and collaboration platforms—are captured, indexed, and retained immutably.

2. Communication Surveillance Integration

Our monitoring capabilities integrate with your compliance surveillance tools, ensuring that communications flagged for review are preserved with full chain-of-custody documentation.

3. Retention Policy Enforcement

We implement automated retention policies aligned to SEC and FINRA requirements—typically 3-6 years depending on record type—with tamper-proof audit trails proving policy enforcement.

4. eDiscovery Readiness

When regulators or litigation demands arise, we support rapid search, retrieval, and production of archived communications with metadata intact, reducing response times from weeks to days.

5. Books and Records Infrastructure

Beyond communications, we manage the IT infrastructure supporting your books and records obligations—ensuring systems are available, backed up, and recoverable within regulatory timeframes.