Global Relay & SEC Rule 17a-4
WORM-compliant electronic recordkeeping designed to support SEC Rule 17a-4 — with SEC Undertaking and FINRA filing support included.
⚖️ SEC 17a-4 support includes:
- ✓WORM (Write Once, Read Many) storage
- ✓SEC Undertaking filing as 3rd Party Downloader
- ✓FINRA notification filing support
- ✓Up to 7-year retention
What SEC Rule 17a-4 Requires
SEC Rule 17a-4 requires broker-dealers to store electronic records in a WORM (Write Once, Read Many) immutable format, or use an approved audit-trail alternative. Global Relay Archive is designed to satisfy this requirement, retaining every message in a non-erasable, non-rewritable repository.
Iron Cove sells and implements this technology — we do not determine whether your overall compliance program satisfies your legal obligations. Your compliance officer or legal counsel should confirm which retention, supervision, and recordkeeping requirements apply to your organization.
Compliance Email Archive Pricing
| Service | Price |
|---|---|
| Compliance Email Archive | $15.00/user/month |
| Legal & Compliance Function | $3.00/user/month (required) |
| WORM Compliant Storage | $2.00/user/month (required) |
10-user minimum. See the complete pricing catalog for Slack, Zoom, Bloomberg, and social media archiving.
SEC Rule 17a-4 FAQ
What does SEC Rule 17a-4 require for storing electronic records?
SEC Rule 17a-4 requires broker-dealers to store electronic records in a WORM (Write Once, Read Many) immutable format, or use an approved audit-trail alternative. Global Relay Archive is designed to satisfy this requirement, retaining every message in a non-erasable, non-rewritable repository.
Who is subject to SEC Rule 17a-4?
Broker-dealers registered with the SEC are directly subject to Rule 17a-4. Investment advisers, banks, and other regulated entities may be subject to related recordkeeping obligations under other rules — your compliance officer or legal counsel should confirm which requirements apply to your organization.
Does Global Relay file SEC Undertakings on my behalf?
Yes. Global Relay can act as your 3rd Party Downloader and prepare and file SEC Undertakings and FINRA notifications on your behalf as part of your archiving setup.
Need SEC 17a-4 Compliant Archiving?
Call us or view the complete Global Relay pricing catalog
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