SEC 17a-4-ready retention

SEC Compliance

Preserve every regulated sales conversation for three years in write-once, read-many storage. Original audio, transcripts, consent evidence, call metadata, and integrity manifests remain searchable, exportable, and protected from alteration or early deletion.

Talk to us about SEC retention Custom annual pricing · Available with any paid plan

Three-year WORM archive

A separate immutable archive keeps protected call artifacts readily accessible for search, review, and export without mixing them into ordinary configurable retention.

01CaptureAudio and call evidence are archived after activation.
02LockObject versions remain protected until retain-until.
03ExportValidated ZIP exports include index, artifacts, and manifest.
Protected record set

Everything needed to reconstruct the conversation.

SEC Compliance stores immutable snapshots of the record and keeps later corrections as amendments, so the original evidence remains intact.

Original audio

Captured immediately into write-once, read-many storage after activation.

Transcripts and summaries

Immutable snapshots are archived; corrections are stored as amendments, not edits.

Consent evidence

Consent prompt result, version, timestamp, and related call evidence travel with the record.

Call metadata

Workspace, participants, numbers, timestamps, retention deadline, and archive status.

Integrity manifest

A SHA-256 manifest records object keys, storage version IDs, and checksums.

Three-year retention

Each protected record remains searchable and exportable until its individual retain-until date.

Retention boundary

Separate from normal workspace retention.

Ordinary configurable retention remains useful for general call history. SEC Compliance is a separate WORM archive with its own retain-until date per protected call.

Activation boundary
The add-on protects new regulated conversations after activation. It does not silently backfill old calls.
No early deletion
Workspace purge, downgrade, cancellation, and account closure cannot shorten protected record retention.
Stopping the add-on
Stopping SEC Compliance ends archiving for future calls only. Existing WORM records stay read-only until retain-until.
Sales-led contract
Custom annual pricing, available with any paid plan after manual contract review and activation.
Search and export

Produce regulator-ready packages on demand.

Owners can request asynchronous ZIP exports for protected records. Exports include an index CSV, original audio, transcript and summary snapshots, metadata, consent evidence, integrity manifest, and amendments.

Hashes are verified before download links are issued.
Download links expire after 24 hours.
Every export and download is audit-logged.

Designed to support broker-dealer recordkeeping under SEC Rule 17a-4. The service does not by itself make your organization compliant. Your legal, supervisory, written-policy, and operational obligations remain your responsibility.

Need immutable retention for regulated sales calls?

SEC Compliance is activated after a manual annual agreement and storage configuration review, so the WORM archive is ready before protected calls begin.

Talk to us about SEC retention

Sales-led annual add-on · Any paid plan · Broker-dealer v1 scope