Compliance · SEC & FINRA
Requirements for SEC and FINRA-regulated businesses.
Align your site, data, and communications with retention, supervision, and security expectations.
Records and retention.
- Capture and retain client communications and disclosures per retention timelines.
- Immutable/WORM storage for required records where applicable.
- Audit trails for changes to content and disclosures.
- Backup and restore plans for regulated data.
Supervision & security
- Review workflows for website content and marketing materials.
- Access controls, MFA, and least privilege for admin users.
- Encryption in transit/at rest; logging of admin activity.
- Incident response and breach notification playbooks.
The cost of getting it wrong.
Regulatory misses are expensive: fines, remediation, and reputational damage.
- Missing retention or WORM requirements leads to penalties and forced remediation.
- Unsupervised content or disclosures can trigger exams and disciplinary actions.
- Weak access controls and logging leave you exposed in audits and incident investigations.
- Breach notifications are costly—no tested plan means longer downtime and higher risk.
Avoid fines
Prove controls
- Document retention, supervision, and breach procedures—up to audit standards.
- Test restores, supervision workflows, and incident playbooks quarterly.
- Keep audit logs and access reviews ready for regulators.
- Set clear owners and SLAs for compliance tasks.
Why work with Hyperweb Media + oneColo.
Local, responsive support with documented controls that stand up to oversight.
- Hosting and backups on oneColo with clear runbooks.
- Access control, MFA, and logging baked into deployments.
- Content supervision workflows for disclosures and marketing updates.
- Incident response and retention plans you can hand to auditors.
Local compliance
Trusted process
- Clear ownership for DNS, SSL, backups, and supervision tasks.
- Staging and approvals before public content changes.
- Documented retention, deletion, and incident procedures.
- On-site escalation through oneColo if systems need hands-on support.