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Data Archiving for FINRA

Adding FINRA’s Custodian Feature Is A Walk In The Park For AdvisorVault

AdvisorVault now includes the custodian feature with its Consolidated FINRA D3P (designated third party) service to give added protection for our withdrawing firms, but essentially adding the Custodian for customers was a walk in the park- I talk about it in this blog. One 17a-4 Provider for Small FINRA Firms   I’ve [...]

By |2024-05-22T21:18:00+00:00May 13th, 2024|17a-4 Compliance, Data Archiving for FINRA|0 Comments

Is Rule 17a-4 Riddling You? Check Out AdvisorVault’s Unique Solution For Small FINRA Firms

Unfortunately, FINRA keeps changing the rules when it comes to data compliance, for instance, they just adopted an audit trail option supposedly helping meet the demands of SEC rule 17a-4. But an audit trail doesn’t make sense: the reality is, firms still need to assign a FINRA Designated Third Party (D3P) to archive data [...]

By |2024-04-30T14:54:23+00:00December 29th, 2023|Data Archiving for FINRA, Microsoft 365 Compliance|0 Comments

Me & My Tech Guru Talk About FINRA’s New Audit Trail Option

FINRA changed rule 17a-4 last year, adding an audit trail option (supposedly attempting to ease the pain of WORM disk). I honestly don’t know how an audit trail will help my customers meet data compliance, so I decided to setup a lunch with my tech guru last week to pick his brain - I [...]

By |2024-01-16T22:21:58+00:00November 4th, 2023|Data Archiving for FINRA|0 Comments

Are FINRA’s New Compliance Rules Keeping You Up At Night?

Being up to date with regulatory changes is a major challenge when you're operating under the jurisdiction of the Financial Industry Regulatory Authority (FINRA). Especially trying to comply with their constantly evolving requirements - take the recent updates to rule 17a-4 for example; they present significant challenges for small broker-dealer firms with limited I.T. [...]

Don’t Hop In Bed With The Wrong Data Compliance Experts!

I’ve noticed lots of confusion these days about data compliance, I don’t know whose fault it is – could be the regulators, or the compliance officers, could be the consultants; I suspect it’s the big IT vendors trying to up-sell us (you know who I'm talking about) but the problem is no one is coming [...]

By |2024-01-16T22:21:32+00:00January 11th, 2023|17a-4 Compliance, Data Archiving for FINRA|0 Comments

Stop Being A Stooge. Understand Microsoft 365 And 17a-4 Before Making The Move

Since FINRA has given firms the green light to use the cloud, it’s important they understand how to make it 17a-4 compliant. Because compliance officers don’t want to be a Stooge if they go ahead and move their operations to Microsoft 365, then come audit time, it'll be especially embarrassing when the regulator is in [...]

By |2024-01-16T22:27:40+00:00December 2nd, 2022|Data Archiving for FINRA|0 Comments

Feel Like A Kid With A New Toy, Check Out AdvisorVault’s Three Steps To Achieve 17a-4

Let’s go over three simple things you can do (I am talking to compliance officers now) that'll help your firm reduce tech spending while at the same time meet the demands of rule 17a-4: a really important thing these days, especially if you’re a small FINRA firm with a limited budget and no in-house IT [...]

By |2024-01-16T22:29:59+00:00January 2nd, 2022|Data Archiving for FINRA|0 Comments
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