Navigating SEC and FINRA regulations
How Keepit supports your compliance efforts
Operating in the financial sector means navigating some of the strictest data governance rules. From SEC Rule 17a-4 to FINRA’s evolving recordkeeping mandates, organizations must ensure they can retain, protect, and recover data on demand — without compromise.
This factsheet provides a detailed overview of how Keepit helps address the requirements of SEC Rule 17a-4 and key FINRA rules. It explains how our purpose-built, independent SaaS data protection platform supports immutable, long-term storage of data in a non-rewritable, non-erasable format, enables efficient recovery, and contributes to your overall business continuity planning.
Whether you're looking to modernize your compliance posture or prepare for your next regulatory audit, this factsheet highlights key SEC and FINRA compliance requirements – and how Keepit helps you meet them.
In this factsheet, you’ll find:
- A breakdown of SEC Rule 17a-4 and how Keepit supports each requirement
- How Keepit meets FINRA Rules on electronic records and business continuity
- What to consider when selecting a third-party provider for compliant recordkeeping
- Why Keepit won “Most Innovative, Compliance” at the 2024 Global Infosec Awards