Which vendors hold SEC 17a-4 / FINRA 4511?
Held by 4 of 64 vendors
WORM record retention assessed against SEC Rule 17a-4(f) and FINRA 4511.
From public trust centers and registries on the date shown. Confirm scope with the vendor. Logos via logo.dev; trademarks belong to their owners.
About SEC 17a-4 / FINRA 4511
WORM record retention assessed against SEC Rule 17a-4(f) and FINRA 4511.
Evidence: the vendor's own compliance page or trust center naming it, with the sentence kept.
Issued by US SEC / FINRA. Also searched as SEC 17a-4 WORM.
Also in Finance: PCI DSS, PCI 3DS, SWIFT CSP, GLBA, SOX support, FFIEC, MAS TRM (Singapore), APRA CPS 234, OSFI B-13, FISC (Japan), DORA