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SEC/FINRA compliance

Meet SEA Rules for FINRA compliance with simplicity.

Tamper-proof archiving that is trusted and proven

Broker-dealers subject to regulation by the Securities and Exchange Commission (the “SEC” or the “Commission”) and FINRA can confidently use HubStor to comply with the requirements of Rule 17a-4. HubStor is specifically designed to store records in compliance with Rule 17a-4 under the Securities and Exchange Act of 1934 (“Exchange Act”). Download legal opinion

Write-Once-Read-Many (WORM) storage without any headache

Financial services firms rely on HubStor to meet SEC/FINRA compliance.


Records are read-only, tamper-proof, and you have no access to the underlying storage infrastructure for the strongest compliance posture.


At least three copies of your data are synchronously replicated and self healing.


All records are serialized and all metadata is preserved and exportable.


Retention policies can apply to folders and items based on numerous criteria to ensure preservation for a required time frame.

Reduce compliance costs with long-term retention in the cloud

For data that you know must be kept for seven or 15 years, but won’t be accessed frequently, we recommend using HubStor’s ability to tier data in the cloud to tape.

Cold storage capabilities

  • 90% reduction to storage prices.
  • Data is still indexed so you can navigate and query it without needing to rehydrate it.
  • Legal hold and retention policies can be applied as normal.

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How to survive routine and cause exams

HubStor has the capabilities you need to not raise eyebrows.

Storage analytics

Produce reports on pretty much anything. HubStor gives you the ability to generate reports and prove compliance.

Content browser

Drill in if you need, including a look at any item’s full metadata details, version history, permissions, and user activity.


Demonstrate full-fidelity recovery of any data set, keeping folders and time stamps intact. Include full metadata manifests with your exports too.

Designated third party (D3P)

Scrutinized in your annual review, you’ll be expected to have a D3P already appointed and registered with the agency.

HubStor as D3P

  • When you’re a SEC/FINRA-compliance customer, we include our D3P services.
  • Or, we can assist in configuring another party to be your D3P partner. It’s your call.
  • Either way, the HubStor technology easily supports secure and audited D3P access.

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Designated third party

SOC 2 compliant data platform

Security and compliance are top of mind for you and for us.

Enterprise-grade security stack

  • Multi-factor authentication.
  • IP whitelisting.
  • End-to-end encryption.
  • Vulnerability scanning.
  • Role-based access controls.

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Partner with HubStor for SEC/FINRA compliance

We’ve done it before. We’re doing it now. We make compliance easy.

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