Intelligent Backup for
Financial Services
SEC 17a-4 and FINRA 4511 compliant backup with immutable audit trails. Protect client financial data, automate retention, and cut archival costs by 67%.
SEC 17a-4 ReadyFINRA 4511 CompliantSOX Ready
7 Years
Retention automated
67%
Storage cost savings
365 Days
Audit trail logs
5-6 Tools
Replaced with one platform
How BigMIND Solves It
Compliance
WORM Compliance for Financial Records
SEC 17a-4 and FINRA 4511 compliant
Tamper-proof write-once storage
Automated 7-year retention with zero manual tracking
Audit
365-Day Audit Logs with Export
Complete file access history
One-click export for compliance reviews
Automatic monthly compliance reports via email
Cost Savings
Storage Lifecycle Automation
Hot Storage — current fiscal year (instant access)
Cold Storage — previous 3 years (3-5 hour retrieval)
Deep Freeze — 4-7 year compliance archive
Collaboration
Client Workspaces for Tax Season
Dedicated portal per client with branding
No account required for client access
Password-protected with automatic expiration
Disaster Recovery
Continental Shield for Business Continuity
Two vaults separated by 5,000+ miles
24-hour synchronization cycle
Customer-owned encryption keys
One Platform Replaces 6 Subscriptions
Before BigMIND
- File Transfer Service
- General Backup Solution
- SEC/FINRA Archive Service
- Cloud Storage (Dropbox, OneDrive)
- Audit Trail System
- Report Generation Software
With BigMIND
- Client Workspaces replace file transfer subscriptions
- WORM compliance handles SEC and FINRA archival automatically
- Smart tiering cuts archival storage costs by up to 67%
- 365-day audit logs with one-click export for examiners
- Scheduled reports delivered automatically via email
- One subscription — stop managing 6 different services
Measurable Results
5-6
Subscriptions Eliminated
50-67%
Storage Savings
Automated
Reports
Automatic
SEC/FINRA Compliance
365 Days
Audit Trail
Explore More Solutions
Ready to Simplify Financial Compliance?
Speak with our financial services specialist to see how BigMIND automates SEC and FINRA compliance while cutting your archival costs by up to 67%.
No credit card required. Compliance-ready from day one.