Compliance infrastructure for AI agents
AgentNotary captures everything a customer-facing AI agent says and does — text, voice, tool calls, retrieved context — into one tamper-evident record, and gives compliance teams a certificate they can hand a regulator.
Built for broker-dealers and RIAs deploying AI agents under SEA Rule 17a-4 and FINRA recordkeeping rules.
One connector per vendor, not a rebuild per firm. Point AgentNotary at your agent's export API or webhook, and it starts capturing.
Every claim below is a citation, not a talking point.
Broker-dealers must preserve originals of communications received and sent relating to their business — a duty that doesn't change because the counterparty is an AI agent instead of a human rep.
FINRA is now asking firms how they retain AI chatbot output under 17a-4, and what challenges the rule's undefined "business as such" language raises for AI-generated communications.
The SEC's audit-trail alternative to WORM permits a complete, time-stamped record that can re-create any modified or deleted entry. AgentNotary's ledger architecture implements the rule's own alternative — and anchors in WORM storage anyway.
Recordkeeping failures have already cost regulated firms more than $2 billion in fines across 100+ firms. The SEC has named "timely adoption of meaningful technological solutions" as what reduces penalties going forward.
Every AgentNotary certificate attests to four things an examiner will ask about — generated on demand, scoped to any agent and date range.
Every message sequence verified contiguous. No missing records.
SHA-256 hash chain verified from first record to last.
All records confirmed written to S3 Object Lock (COMPLIANCE mode).
All records captured under the current retention policy version.
10+ years in fintech and AI engineering, 12+ patents. Founding AI Engineer at Modern Treasury (Y Combinator S18), building their treasury AI agent end to end. Founding Engineer at Trovata, scaling AI and backend infrastructure for a platform managing $25B+ in assets across 2,000+ bank integrations. M.S. Statistics.
AgentNotary is built by an engineer who has shipped production AI agents inside regulated financial infrastructure before — not someone approximating the compliance problem from the outside.
We're early. The pipeline is real and running end to end; we're working with a small number of compliance teams and agent vendors to get the record right before this goes broad.
If your firm is running — or about to run — a customer-facing AI agent, we'd like to hear how you're thinking about the record. Not a sales call, a discovery one.