NetApp StorageGRID Compliance Assessment

SEC 17a-4(f) & CFTC 1.31(c)-(d)

In this report, Cohasset Associates assesses the capabilities of NetApp® StorageGRID® and finds that with compliance settings enabled, the product meets the relevant storage requirements of:

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

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