Audit-trail-first design for financial services: SEC 17a-4(f) and FINRA 4511.

In Lesson 5.2 of GROW Course 5 (Vertical Specialization), Doug Liles works through it with you. An audit-trail-first posture that satisfies financial-services recordkeeping.

What you'll take away

- Audit-trail-first

- SEC 17a-4(f)

- FINRA 4511

Chapters

(0:00) Cold open & the promise

(2:49) Audit-trail-first

(5:39) SEC 17a-4(f)

(8:29) FINRA 4511

(11:19) Immutable records

(14:09) What an examiner expects

(16:59) The artifact & what to do Monday

Mentioned and cited

- SEC Rule 17a-4(f)

- FINRA Rule 4511

Study guide, slide deck, blog companion, infographic (free)

- https://fde.goodcombinator.ai/lessons/FDE_Lesson_5_2

Audio companion is AI-narrated using NotebookLM. Explainer video is human-produced.

Public release

This full FDE Certification audio lesson is available publicly as part of GROW by Good Combinator.

Continue in GROW Skills Library: https://goodcombinator.com/grow/library

Episode metadata

Show: GROW by Good Combinator

Course: Course 5 - Vertical Specialization

Lesson: 5.2

Season/Episode: 5/2

Runtime: 19:49

Access label: public-full-lesson

Source channel: spotify

Source audio: app/lessons/assets/course-5/5.2/5.2 Deep Dive Audio.m4a

Taxonomy: Domain=Vertical Specialization; Career stage=Senior FDE; Skill level=Advanced; Asset type=Lesson; Outcome=Deploy

CRM events: course_started, lesson_completed, cert_enrolled

Transcript and accessibility

Final transcript required before launch: https://goodcombinator.com/grow/courses/course-5/lesson-5.2/transcript

Accessibility requirement: reviewed audio, clear title, descriptive show notes, and transcript availability before launch.

Audio companion is AI-narrated using NotebookLM and disclosed here.

Credits

Host: Doug Liles

Producer: Good Combinator

Audio: NotebookLM AI narration (disclosed)