FINRA & SEC 17a-4 compliance

Broker-dealers, RIAs, and FINRA-registered firms use DialPhone for advisor communications with compliant recording, retention, and supervisory review built in.

Capabilities

Immutable call recording with SHA-256 hash integrity
WORM (Write-Once-Read-Many) storage option
7-year default retention, configurable up to 10 years
Voice + electronic communications archive (SMS, chat, email)
Supervisor review tools with automated keyword flagging
Call sampling and 100% interaction analytics
Export in e-discovery-ready formats
Manager attestation workflows
Dodd-Frank Title VII support for swap dealer communications

FINRA / SEC 17a-4 FAQ

Does DialPhone satisfy FINRA Rule 2210 requirements?

Yes. Rule 2210 covers communications with the public and requires records be preserved for 3 years (6 years for some records). DialPhone retains voice and electronic communications with the integrity controls regulators expect, including immutable storage and cryptographic hashing.

Is this SEC 17a-4 compliant?

Yes. 17a-4 requires books and records preservation with WORM storage or a verified alternative. DialPhone supports true WORM storage mode on Contact Center tiers with annual third-party attestation.

Can I export records for regulatory inspection?

Yes. Export tools produce regulator-ready packages with metadata, recordings (original and transcript), chain-of-custody hash verification, and attestation. Inspectors can verify records haven't been altered using the published hash chain.

What plans include FINRA-compatible recording?

Business Phone Ultra ($54/user/mo) and all Contact Center tiers. For teams requiring specific WORM storage and supervisory review tools, Contact Center Professional ($95/agent/mo) or higher is the minimum.

Does this cover Dodd-Frank Title VII for swap dealers?

Yes. Dodd-Frank requires swap dealer communications be archived for 5 years with specific audit characteristics. DialPhone meets these; specific configurations should be discussed with compliance during onboarding.