Address SEC 17a-4

Media Storage Requirements

All electronic records, including email as well as collaboration content like chat, whiteboards, and screen shares, must be retained in non-rewriteable, non-erasable format.

Archiving Requirements

(ii) The electronic storage media must:

(A) Preserve the records exclusively in a non-rewriteable, non-erasable format;

(B) Verify automatically the quality and accuracy of the storage media recording process;

(C) Serialize the original and, if applicable, duplicate units of storage media, and time-date for the required period of retention the information placed on such electronic storage media; and

(D) Have the capacity to readily download indexes and records preserved on the electronic storage media to any medium acceptable under this paragraph (f) as required by the Commission or the self-regulatory organizations of which the member, broker, or dealer is a member.

All electronic records, including email as well as collaboration content like chat, whiteboards, and screen shares, must be retained in non-rewriteable, non-erasable format.

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How Can We Help?

Theta Lake's Solutions for Archiving Compliance

SEC Rule 17a-4(f) describes the “none-rewritable, non-erasable” or “write once, read many” electronic storage requirements broker-dealers must adhere to for recordkeeping purposes.  Theta Lake facilitates the capture and compliant retention of all dynamic data types from collaboration platforms including audio, video, file shares, whiteboarding sessions, web cam content, screen shares, and chat conversations.

 

Theta Lake preserves content in WORM-compliant storage for supervision, analysis, and recordkeeping purposes, based on retention requirements defined by the customer.  Full search capabilities across audio, video, and text are available as are legal hold capabilities to create, manage, and export case content from within the Theta Lake platform.