Solutions / Finance & insurance

An agent recommended a trade.
Can you reproduce exactly what it saw?

When agents recommend or execute trades, SEC Rule 17a-4 and FINRA 4511 demand a complete, time-stamped, identity-bound audit trail you can reconstruct on demand. AIR produces exactly that for the agent layer, made immutable by cryptography instead of WORM media.

FINRA 4511SEC 17a-46-year retentionWORM-alternative

Book an agent audit See the evidence ↓

Free eval · nothing deployed · verify every record yourself

Signed Intent Capsule · live

Agentorder-router-04

Delegated bypm.chen · Okta

OrderBUY AAPL ×4,000

Limit checkwithin mandate

Off-book transferblocked · SV-SCOPE

BLAKE3 · Ed25519 · time-stamped · anchored Rekor

✓ reconstructable · verify on search.sigstore.dev

01The stakes

09:41:58 · agent: order-router-04

An agent just placed 240 orders across 18 accounts in four minutes.

SEC Rule 17a-4 says you must show a complete, time-stamped trail of who did what, and recreate any record that changed. For a desk trader you have it; for an autonomous agent, that record usually doesn't exist until a regulator asks.

02The mandate

What 17a-4 requires.

FINRA Rule 4511

recordkeeping baseline

Members must preserve books and records for at least six years, in a format and on media that comply with SEC Rule 17a-4.

Cryptographic, re-anchored retention is how AIR meets the six-year obligation.

SEC Rule 17a-4

the audit-trail alternative

The 2022 amendment added an alternative to WORM: a complete, time-stamped record of every create, modify and delete — who did it, when, and enough to recreate the original.

AIR's signed log is exactly that, made immutable by cryptography instead of WORM media.

Insurance

a distinct buyer

The EU AI Act names insurance directly: life and health insurance risk and pricing are Annex III high-risk uses.

Provable agent records are what both the regulator and the reinsurer ask to see.

03How AIR answers

17a-4, clause by clause, mapped to what already ships.

A complete time-stamped trail of every create / modify / delete?

MonitorEvery agent action is a signed, time-stamped AgDR record, forward-chained with BLAKE3.

The identity of who performed each action?

AccountEach action bound to a named human (PM, desk, approver) through Okta, Entra, Auth0 or SPIFFE.

Recreate the original record if it changed?

ProveThe forward-chain is tamper-evident; any edit breaks it, and the original state reconstructs.

Immutability without WORM media?

ProveCryptographic immutability — Ed25519 signatures anchored to public Sigstore Rekor.

Six-year, and longer, retention?

EnterpriseSigned and re-anchored to your regulatory floor, with post-quantum re-anchoring.

04The evidence

The 17a-4 audit-trail alternative, in your hands.

Not a vendor attestation and not a log your team could have rewritten. A signed, time-stamped, identity-bound record of every agent action, reconstructable and independently verifiable, self-authenticating under FRE 902(13)–(14).

See the admissibility model →

AgDR record · agdr/v2

Delegation · pm.chen authorized order-router-04

Action · BUY AAPL ×4,000 @ 09:41:58.204Z

Check · within mandate — in scope

Halt · off-book transfer blocked — SV-SCOPE

sig: ed25519 · hash: blake3 · anchor: Rekor #1466351923

✓ chain intact · reconstructable · verify on search.sigstore.dev

05What you get

The tiers trading desks and insurers choose.

Enterprise

most teams here

Containment — halt agents before harm
Causal graph, query & replay
SIEM: Splunk · Datadog · Sentinel · Sumo
6-year+ retention, re-anchored to your floor
SOC 2 · ISO 42001 · EU AI Act · NIST

Book an agent audit

Air-gapped

regulated · sovereign

Everything in Enterprise, plus

On-prem / offline anchoring
No phone-home — records never leave
Extended retention + PQ re-anchoring
Admissibility Pack — FRE 902 + expert support
Dedicated, single-tenant deployment

Talk to us

Retention is the lever: you don't pay us to store records, you pay us to keep them provable, signed, tamper-evident, and re-anchored, for as long as the SEC and a courtroom require.

See what your agents traded, and prove it.

A free agent audit. Nothing deployed. You walk away with a 17a-4-style record of what your agents did, whether or not you ever buy.

Book an agent audit →