Canonical Framework Canonical Frameworks
SEC/FINRA Books & Records
Compliance with SEC Rule 17a-4/17a-3 and FINRA Rule 4511/3110 for broker-dealers and RIAs. Covers WORM-compliant archiving, communication supervision, data-retention schedules, and audit trails for AI-generated content in financial services.
Regions
US
Regulations
5 covered
Control Domains
6 domains
Deployment
Regulated SaaS, Financial (Cache Disabled)
Regulations & Standards
SEC Rule 17a-4 SEC Rule 17a-3 FINRA Rule 4511 FINRA Rule 3110 SEC Regulation S-P
Control Domains
Audit Logging
Data Retention
Data Integrity
Communication Archiving
Supervision
Access Control
Deployment Options
Regulated SaaS
Financial (Cache Disabled)
Get started in 3 steps
1
Explore the template
Click "Explore in Console" to open this template in the Keeptrusts configuration editor.
2
Customize policies
Adjust detection thresholds, escalation rules, and redaction patterns to match your requirements.
3
Deploy to your gateway
Save your configuration and deploy it to any Keeptrusts gateway — cloud, on-prem, or air-gapped.