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FINRA Cybersecurity

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. [...]

Confused About FINRA Cybersecurity? Join The Club

Since we are a FINRA Designated Third Party (D3P) currently doing data archiving for customers, I decided to help firms with cybersecurity too. So naturally I downloaded FINRA’s Cybersecurity Checklist for Small Firms in attempts to get some guidance, boy was I disappointed, and surely I’m not alone. I mean if you’re a small [...]

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