---
title: "Is Wasabi’s implementation of S3 Object Lock (aka object immutability) compliant with SEC 17 CFR § 240.17a-4(f), FINRA Rule 4511(c), and CFTC 17 CFR § 1.31 (c)-(d)?"
slug: "is-wasabis-implementation-of-s3-object-lock-aka-object-immutability-compliant-with-sec-17-cfr-24017a-4f-finra-rule-4511c-and-cftc-17-cfr-131-c-d"
updated: 2026-02-05T16:43:08Z
published: 2026-02-05T16:43:08Z
---

> ## Documentation Index
> Fetch the complete documentation index at: https://docs.wasabi.com/llms.txt
> Use this file to discover all available pages before exploring further.

# Is Wasabi’s implementation of S3 Object Locking (aka object immutability) compliant with SEC Rule 17a-4(f)/FINRA/CFTC?

### Is Wasabi’s implementation of S3 Object Lock (aka object immutability) compliant with SEC 17 CFR § 240.17a-4(f), FINRA Rule 4511(c), and CFTC 17 CFR § 1.31 (c)-(d)?

Wasabi’s immutability functionality ([object lock](https://docs.wasabi.com/docs/object-locking-enable) with compliance mode) fulfills the following requirements relative to certain electronic storage requirements specified in the following regulations:

- Securities and Exchange Commission (SEC) in 17 CFR § 240.17a-4(f), which regulates exchange members, brokers or dealers.
- Financial Industry Regulatory Authority (FINRA) Rule 4511(c), which defers to the format and media requirements of SEC Rule 17a-4(f).
- Commodity Futures Trading Commission (CFTC) in 17 CFR § 1.31(c)-(d), which regulates commodity futures trading.

For more detailed information about how Wasabi’s implementation of S3 Object Lock satisfies these regulations, see the [SEC 17a-4(f), FINRA 4511(c), and CFTC 1.31(c)-(d) Compliance Assessment - Wasabi Hot Cloud Storage](https://assets2.brandfolder.io/bf-boulder-prod/rxj8wfht8jmsm6r66v4vmrv/v/1099197208/original/Wasabi-Hot-Cloud-Storage-Cohasset-Compliance-Assessment-2023-05-02-FINAL.pdf) by Cohasset Associates. This report also includes the updated SEC Rules that had a compliance date of 5/3/2023.

For additional information about physical security, network architecture, and data privacy, refer to our white paper, [Ensuring SEC Compliance with Wasabi’s Data Immutability.](https://cdn.brandfolder.io/BFD8NB05/at/gm9mvbx32sjmgx4b9fkhhmrb/Ensuring_SEC_Compliance_with_Wasabi-5-10-21.pdf)

A customer case study on the use of Wasabi’s immutability feature is available in the [Wasabi Resource Center](https://wasabi.com/case-study/proof-trading/).

If you need a D3P (designated third-party) that works with Wasabi, we recommend the [Iron Mountain D3P service](https://www.ironmountain.com/support/).

If you need to request an alternate undertaking letter per [17 CFR 240.17a 4(i)(1)(ii)(A)](https://www.ecfr.gov/current/title-17/chapter-II/part-240/subject-group-ECFR17722751b422db3/section-240.17a-4#p-240.17a-4(i)(1)(ii)(A)), contact [Wasabi Compliance](mailto:compliance@wasabi.com) (compliance@wasabi.com).