FINRA Rule 3110/4511 — Tamper-Evident 6-Year Records Journal

Statutory Framework: FINRA Rule 4511 / Exchange Act Rule 17a-4 (WORM)
Rule ID: SEC-FINRA-3110 | Severity: PROGRAMMATIC BLOCKER
Mitigation Action: TAMPER_EVIDENT_JOURNAL

1. Statutory Mandate & Legal Boundary

"Enforces immutable, Ed25519-signed cryptographic ledger archiving for all model prompts and trading choices to pass statutory inspection baselines."

2. Technical Invariant & AST Engine Matcher

[POLICIES.SEC-FINRA-3110]
rule_id = "SEC-FINRA-3110"
statute = "FINRA Rule 4511 / Exchange Act Rule 17a-4 (WORM)"
severity = "BLOCKER"
action = "TAMPER_EVIDENT_JOURNAL"

[ENFORCEMENT]
fail_closed = true
audit_trail = "Ed25519_DAC"
latency_max_us = 800

3. Production Python / Rust Integration

from anchor import AnchorGuard

@AnchorGuard.guard(policy="SEC-FINRA-3110")
def process_machine_payload(payload: dict):
    # Evaluated in <0.8ms against SEC-FINRA-3110 AST query bounds
    return compliance_engine.enforce(payload)