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Archiving Social MediaAllan Lonz2026-05-31T23:18:21+00:00

AdvisorVault now includes
Social Media Archiving

Metting SEC Advisers Rule 204-2
FINRA 17a-4 D3P:

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A Big No-No

Having gaps in the 17a-4 archive is a big no-no because when FINRA shows up for their 17a-4 electronic records request and a firm can’t reproduce a sample set of records from the archive going back 7 yrs. they fail right away – there’s three basic things FINRA wants when it comes to rule 17a-4:

Archive records off-site, original format; versions back 7 years, non-rewritable (via hardware or software features)
A supervisory interface; compliance officers/regulators can access the 17a-4 archive for ongoing supervision and for FINRA electronic records request
Assign a FINRA D3P (designated third party) with access to records; reproduce data for FINRA if requested

What’s a Consolidated 17a-4 D3P?

Our Consolidated 17a-4 D3P Service is a unique offering designed specifically for small FINRA firms. It’s fully outsource data compliance; bundling everything needed into one product meeting all the demands of rule 17a-4 for one-flat monthly fee:

Archives any data anywhere – in-house or the cloud;
Consolidates electronic records in one 17a-4 compliant archive;
A single web-based interface for supervision and audits;
The D3P service with FINRA 3rd party letters prepared

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IFC Advisors Case Study

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A Big No-No

Having gaps in the 17a-4 archive is a big no-no because when FINRA shows up for their 17a-4 electronic records request and a firm can’t reproduce a sample set of records from the archive going back 7 yrs. they fail right away - there's three basic things FINRA wants when it comes to rule 17a-4:

1. Archive records off-site, original format; versions back 7 years, non-rewritable (via hardware or software features)

2. A supervisory interface; compliance officers/regulators can access the 17a-4 archive for ongoing supervision and for FINRA electronic records request

3. Assign a FINRA D3P (designated third party) with access to records; reproduce data for FINRA if requested

What’s a Consolidated 17a-4 D3P?

Our Consolidated 17a-4 D3P Service is a unique offering by AdvisorVault; designed specifically for small FINRA firms, it's fully outsource data compliance; bundling everything needed into one product meeting meeting all the demands of rule 17a-4 for one flat monthly fee:

1. Archives any data anywhere - in-house or the cloud;

2. Consolidates electronic records in one 17a-4 compliant archive;

3. A single web-based interface for supervision and audits;

4. The D3P service with FINRA 3rd party letters included

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