For Financial Services
WORM-immutable. SEC 17a-4 audit-ready.
Registered investment advisors, broker-dealers, and accounting firms have retention rules the SEC and FINRA can fine you for breaking. BigMind Resilience ships WORM immutability and audit logs designed for those frameworks.
Click to enlargeThe problem
“Cloud backup” usually fails the first SEC 17a-4 question.
SEC Rule 17a-4 requires broker-dealers to preserve specific records on non-rewriteable, non-erasable media for set durations — three years for most, longer for certain categories. FINRA Rule 4511 layers similar retention obligations on member firms, and RIAs hold suitability documentation, communications, and trade records that must survive an audit and a subpoena. Most cloud-backup products write rewriteable storage and fail an SEC 17a-4 reading on the first question; the vendors who do offer compliant storage typically charge enterprise rates and bury WORM behind a six-figure deal. Ransomware compounds it: a small RIA hit on a Friday afternoon, with rewriteable backups encrypted alongside primary data, has nothing to hand the examiner on Monday.
Where it fits
The capabilities that map to your retention rules.
Six parts of BigMind Resilience line up directly with SEC 17a-4, FINRA 4511, and the survivability your firm needs to keep operating through an incident.
WORM-immutable storage
Write-once-read-many, retention-locked. The admin can’t delete it; stolen credentials can’t delete it. Meets the technical bar for SEC 17a-4(f) compliant storage.
Learn more4-Track Retention
GFS schedules plus a dedicated compliance track that enforces the long retention horizons (7+ years) regulators expect — no manual tracking.
Learn moreContinental Region
Multi-region replication for survivability and data-residency control — your records survive a regional outage and stay where policy requires.
Learn moreRansomware Canary
Deterministic, mid-attack detection protects records before encryption corrupts them. The backup chain freezes the moment tampering is detected.
Learn moreApp-consistent VSS
Real SQL VSS Writer coordination for accounting and fund-admin systems — QuickBooks, Sage, ProSeries — so restores come back clean and consistent.
Learn moreCloud Services backup
OneDrive, Google Drive, Dropbox, and Box backed up alongside files and DR images in one shared storage pool — your firm’s cloud-drive records covered next to the on-prem ones.
Learn moreWrite-once. Retention-locked. Un-deletable — even by an admin.
WORM-immutable storage is write-once-read-many and locked to a retention horizon you set. It meets the technical bar for SEC 17a-4(f) compliant storage: the admin can’t delete a locked record, and neither can a stolen credential or a ransomware payload.
- Meets the non-rewriteable, non-erasable media standard of SEC Rule 17a-4(f).
- Lock horizons configurable per policy — 1 year through 10+ years.
- An active lock cannot be shortened by anyone, including org admins.
- Audit logs themselves can be retained under a WORM policy.
Click to enlargeLong retention horizons, enforced — not manually tracked.
Retention runs on GFS schedules (daily / weekly / monthly / yearly) plus a dedicated compliance track that holds the 7+ year horizons regulators expect. The schedule enforces itself, so a missed manual step never becomes a missed record.
- GFS structure auditors expect — daily, weekly, monthly, and yearly tracks.
- A separate compliance track for long-horizon (7+ year) retention.
- Pin rules protect specific assets so cleanup never touches them.
- No manual retention tracking to forget or get wrong.
Click to enlargeRecords that survive a regional outage — and stay where policy says.
Continental Region replicates across regions for survivability and data-residency control. Your records keep their immutability guarantees in a second region, so a regional disaster doesn’t become a record-keeping failure in front of an examiner.
- Multi-region replication for survivability and continuity.
- Data-residency control to keep records in required jurisdictions.
- Customer-owned encryption keys available across regions.
- Pairs with WORM so the replica inherits the same retention lock.
Click to enlargeCompliance specifics
The line items your examiner will ask about.
WORM-immutable storage plus audit-log export — the framing that holds up against SEC 17a-4 and FINRA 4511 reviews. (BigMind Resilience does not ship pre-built SEC/FINRA report templates; compliance evidence comes from WORM retention and exportable audit logs.)
SEC 17a-4 compatible
WORM-immutable storage that meets the non-rewriteable, non-erasable media bar of Rule 17a-4(f).
FINRA Rule 4511
Retention enforcement for the obligations FINRA layers on member firms.
SOC 2 Type II
Annual third-party certification of the underlying infrastructure controls.
Audit log export
Every access logged with user, time, IP, and action — exportable as CSV or JSON, timestamped.
AES-256 / TLS 1.3
AES-256 encryption at rest and TLS 1.3 in transit — customer-owned keys available.
DPA / BAA available
Data Processing and Business Associate Agreements available on request.
Every access logged. Every event, exportable for an examiner.
Every access generates a row — user, time, IP, file, and action. The full log is filterable and exports to CSV or JSON, timestamped, and can be retained under a WORM policy so the evidence trail is as immutable as the records themselves.
- User, time, IP, and action recorded on every access.
- Filter by user, file, action, or date range.
- Export to CSV or JSON, timestamped for examiner review.
- Retainable under a WORM policy alongside the records.
Click to enlargeTrust signals
What we put behind it.
99.9% uptime SLA
Backed by SOC 2 Type II infrastructure and continuous monitoring.
Free migration assistance
White-glove migration from Veeam, Druva, Acronis, or Datto on 50+ seats.
Customer-owned encryption keys
Hold your own keys for the tightest data-residency and access posture.
Full compliance documentation — SOC 2, HIPAA-compliant infrastructure, BAA / DPA, sub-processor list, and pen-test summaries — is available on the Security page and on request.
FAQ
Questions financial firms ask first.
Is WORM available on the Standard tier?
WORM-immutable storage is a Pro tier feature ($24/user/mo). The Pro tier adds the retention-locked, non-erasable storage required for SEC 17a-4(f) and FINRA 4511 record-keeping.
How long can WORM lock files?
Configurable per policy — from 1 year through 10+ years. Once a lock is active, an admin cannot shorten it; the retention horizon holds until it expires.
Will the audit log work for an SEC examiner?
Audit logs are exportable as CSV or JSON, timestamped, and retainable under a WORM policy — every access recorded with user, time, IP, and action.
Make your records audit-ready.
WORM-immutable storage, enforced retention, and exportable audit logs designed for SEC 17a-4 and FINRA 4511 — at SMB pricing.
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