FINRA + SEC
Compliance · FINRA + SEC
Voice recording and retention built for financial regulators.
For RIAs, broker-dealers, and investment advisers operating under SEC Rule 17a-4, FINRA recordkeeping rules, and (where applicable) MiFID II.
Request a compliance briefing or call 866-304-4300
Founded 2001
What the regulation requires
- SEC Rule 17a-4: 3-6 year recordkeeping, WORM-style integrity
- FINRA Rule 4511: maintenance of books and records
- FINRA Rule 3110: supervisory review including voice communications
- SEC Regulation S-P: privacy of consumer financial information
- MiFID II Article 16(7): recording of communications related to transactions (EU)
How Triton Cloud PBX meets each requirement
- Configurable retention 30 days to 7+ years with WORM-style storage
- Supervisory search across recordings (by user, date, duration)
- Audit log of recording access
- Bulk export to SFTP or API for compliance archives
- SRTP and TLS encryption
- EU data residency option (Dublin) for MiFID II
Attestations + documents available
- Voice retention attestation
- Supervisory review process documentation
- Audit log specification
- WORM storage attestation
- SCCs for US ↔ EU data transfers (MiFID II)
What we will NOT claim
We do not provide legal compliance advice for FINRA, SEC, or MiFID II. We provide a platform with retention, encryption, and audit capabilities that map to specific rules; we provide written attestations for the technical safeguards. Your compliance officer makes the final determination on overall posture.
Frequently asked
Questions we get asked the most
Does Triton support 7-year recording retention?
Yes. Configurable per extension or per trunk. Storage is WORM-style — recordings cannot be deleted before the retention window completes.
Can supervisors search recordings without leaving the platform?
Yes. Search by user, date range, call duration, or callee. Audit log captures who searched what.
What if a regulator requests recordings?
You export them. We do not disclose customer recordings except through the customer or under lawful process with notice.
Do you support MiFID II for EU operations?
Yes. EU-region (Dublin) hosting keeps recordings in the EU. SCCs cover any US ↔ EU transfer.
Is the platform an SEC-registered transfer agent or broker-dealer?
No. We are a telecom service provider. Our role is to provide the recording and retention capability; your firm holds the regulatory registrations.
Need this in writing for your audit?
Tell us your auditor's requirements. We will provide documentation under NDA.
Request a compliance briefingor call 866-304-4300