SEC 17a-4 · FINRA supervision
Every answer, on the record.
Sovrinty gives risk, compliance, and the front office one governed source of truth: a citation on every answer, an immutable audit trail, and conflicting sources surfaced instead of quietly averaged. It layers on top of the systems you already run.
One governed source of truth
Retain client trade communications for six years, the first two in an easily accessible place, on non-rewriteable, non-erasable (WORM) media Records Retention Policy §4.2.
Source: Records Retention Policy · §4.2
SEC 17a-4 · FINRA 4511 · owner: Compliance
Why teams like yours choose Sovrinty
Built for the exam, not just the desk.
Records that survive an exam
Every answer is preserved as an immutable, time-stamped record, tied to its approved source and approver. The WORM-style recordkeeping SEC 17a-4 and FINRA 4511 require.
Supervision you can show
A reviewable trail of who approved each answer and when, so FINRA 3110 supervision can prove it happened, not just assert it.
Conflicting guidance, surfaced
When two approved sources disagree, Sovrinty holds them apart and routes to an SME. It never blends them into one confident, wrong answer.
Sound familiar?
What we hear from risk and compliance.
“I can't have hallucinations. I need answers I can prove.”
Approved sources only, a citation on every claim, an immutable audit trail.
“Two approved sources disagree and the AI hides it.”
The conflict is surfaced and held apart, then routed to an SME to resolve.
“The exact wording a regulator requires gets paraphrased.”
Verbatim enforcement locks regulated passages word-for-word.
“A trusted answer quietly goes stale and nobody notices.”
The Golden Spike links answer to sources; a change auto-flags everything downstream and routes re-certification.
In the product
Every answer, traceable to the record.
- Q&A Approved
Who is our preferred vendor for construction?
OperationsProcurement - Decision Approved
Standardize capital projects on Vendor Master Agreements
LegalFinance - Lesson Approved
Lessons from the FY25 facilities buildout
OperationsFacilities - Note Internal
Vendor onboarding checklist
OperationsIT - Q&A Approved
What is the approval threshold for vendor exceptions?
FinanceProcurement
What you get
What stands up to an examiner.
Immutable audit trail
Source, model, and approver, logged and tamper-evident for every answer.
Conflict surfacing
Disagreeing sources are shown side by side and routed to resolve, not averaged.
Verbatim enforcement
Regulated disclosures and marketing language are returned exactly as approved: the FINRA 2210 wording, word-for-word.
Provenance
A citation on every answer, traceable to the record it came from.
When an examiner asks “where did this come from?”, the record (source, approver, timestamp) is one click away.
See Sovrinty on your content.
A working session on your environment, your sources, your obligations.