Audit trail WORM
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WORM storage mode required by SEC 17a-4.
Definition
SEC Rule 17a-4(f) requires 3-6 year preservation with WORM compliance for broker-dealers. Cloud implementations: AWS S3 Object Lock (Governance or Compliance mode), Azure Immutable Blob Storage, Google Cloud Bucket Lock. Audit verification by third-party assessor.
Origin
WORM concept from CD-WORM ; regulated SEC 17a-4 (1934 Securities Exchange Act).
Example in context
A US bank Morgan Stanley archives 10 years of SWIFT in S3 Object Lock Compliance.
Related terms
- Audit log retention — related policy.