Who holds which certification

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64 vendors · 63 certifications

CertificationsFinance

Which vendors hold SEC 17a-4 / FINRA 4511?

Held by 4 vendors

Combine

WORM record retention assessed against SEC Rule 17a-4(f) and FINRA 4511.

AWS

Amazon Web Services, the largest public cloud.

HeldVendor page

read Nov 4, 2026
Microsoft

Azure, Microsoft 365 and the Azure OpenAI Service.

HeldVendor page

read Nov 4, 2026
Oracle

Oracle Cloud Infrastructure and Oracle's cloud applications.

HeldVendor page

read Nov 4, 2026
Slack

Work messaging and GovSlack.

HeldVendor page

read Oct 28, 2026
About SEC 17a-4 / FINRA 4511

Evidence: the vendor's own compliance page or trust center naming it, with the sentence kept.

Issued by US SEC / FINRA. Also searched as SEC 17a-4 WORM.

Also in Finance: PCI DSS, PCI 3DS, SWIFT CSP, GLBA, SOX support, FFIEC, MAS TRM (Singapore), APRA CPS 234, OSFI B-13, FISC (Japan), DORA