Financial services

SEC & FINRA

Securities recordkeeping and broker-dealer supervision.

SEC recordkeepingFINRA supervisionRule 17a-4broker-dealer

Pillar article

Research

SEC Recordkeeping Requirements for 2026: What Firms Must Retain, and How

A working reference to the 2026 recordkeeping obligations for broker-dealers, from the amended Rule 17a-4 audit-trail option to the off-channel communications sweep.

January 12, 2025 · 9 min read

Research & analysis

Deeper in the cluster.

A retail bank branch sign, illustrating off-channel business communications.

Research

SEC & FINRA

FINRA Off-Channel Communication Rules, and Why They Are Reaching Smaller Firms

Sarah MitchellNew York · Girder Group · March 18, 2024

A secure server environment, illustrating encrypted-message archiving and capture.

Research

FCA & EU

WhatsApp Archiving: Why Most Firm Archives Are Incomplete

James OkaforLondon · Girder Group · May 6, 2023

Case studies

Modeled scenarios & design partners.

An advisory-firm workspace, illustrating a move from spreadsheets to automated capture.

Case Study

Engineering & Markets

Early Design Partner: A 45-Person Advisory Firm Moves From Spreadsheets to Automated Off-Channel Capture

Dwayne ThompsonKingston · Girder Group · July 14, 2024

Work with Girder Group

The systems that make SEC & FINRA obligations provable.

Girder Group builds the platforms, portals, and cloud systems that regulated organisations run on across financial services. Talk to the firm behind this research.

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