We’re Leading the Way in 17a-4 Data Compliance

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 [...]

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. [...]

Ride The New Wave In 17a-4 Compliance With AdvisorVault & Compliant Workspace

It is not often that you hear the word “exciting” next to “Electronic data archiving” or “Broker-Dealer compliance”. Yet with the announcement of our new company partnership between AdvisorVault & Compliant Workspace, it is safe to say that the data compliance industry is being revolutionized for broker-dealers & FINRA compliant firms around the globe. You [...]

By |2024-01-16T22:20:49+00:00February 24th, 2023|Microsoft 365 Compliance|0 Comments

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 [...]

We’ll have you Grinning Ear to Ear With Our Direct 17a-4 Cloud Plug-in

AdvisorVault's 17a-4 Cloud Backup Plug-in will make you purr like a kitten; it’s a game changer when you need to be compliant on the cloud, I am talking about Google Workspace and Microsoft 365 (the only two real options firms today). I mean, at the end of the day, moving your company to the [...]

By |2024-01-16T22:23:42+00:00January 9th, 2023|17a-4 Compliance|0 Comments

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 [...]

Don’t Choose The Wrong Cloud Service For 17a-4 And Get Rained On

I’ve notice there’s lots of talk these days about data compliance and the cloud, specifically the problem surrounding the FINRA Designated Third-Party Provider or 17a-4 D3P. What I’m talking about here is a FINRA firm such as a broker-dealer and the compliance officer, who, if they’ve done their homework, will need to fully understand [...]

By |2024-01-16T22:26:05+00:00December 20th, 2022|17a-4 Compliance|0 Comments

Hanging From A Tree And Scratching Your Head Thinking About Rule 17a-4?

Compliance officers end up feeling like they’re hanging from a tree, scratching their heads when it comes to FINRA rule 17a-4. Its complex and they need to also understand the technology behind it; at the same time, few have the expertise to fully grasp it. However, the best way to approach 17a-4 (especially if you’re [...]

By |2024-01-16T22:26:59+00:00December 2nd, 2022|17a-4 Compliance|1 Comment

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

“Just The Facts Ma’am” What You Need To Know About 17a-4 Cloud Compliance

An important thing I’ve learned working with small FINRA firms over the past 20 years is their need to continually find ways to keep technology spending as low as possible yet keep regulators happy, i.e., pass the 17a-4 electronic records request. It’s not a simple task since there are lots of ways to store data, [...]

By |2024-01-16T22:28:22+00:00December 2nd, 2022|17a-4 Compliance|0 Comments
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