Is Wasabi compliant with SEC SEA Rule 17a-4, FINRA, and SOX?

Wasabi's data immutability feature can be used to ensure compliance with the relevant requirements of SEC Securities Exchange Act SEA Rule 17a-4.  Wasabi's immutability feature is important for use cases involving FINRA and Sarbanes-Oxley (SOX) compliance.  This paper provides additional details. 

If you need attestation letters regarding Wasabi & SEA Rule 17a-4, review the attachments to this article.

If you need a D3P (designated third-party) that works with Wasabi, we recommend the Iron Mountain D3P service.

 

 

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