Compliance and Information Security


FINRA and SEC compliant retention and retrieval. Glass solutions are designed to help clients meet the books and records requirements of SEC Rule 17a-4 and various FINRA supervision requirements, including Rule 3110.

Glass uses industry best practices and bank-level encryption to keep data secure and long-term available. All data are encrypted in transit and at rest. Live data are kept in encrypted relational databases while long-term retention data are archived on tamper-proof write-once read-multiple (WORM) data storage provided by Amazon Web Services. All data are indexed and Glass’s storage solution provides robust audit functionality.

Glass can act as a designated third party for your long-term data retention needs.