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 [...]

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. [...]

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

Thumbs Up For Allegiance Advisors! AdvisorVault Makes Their Microsoft 365 17a-4 Compliant

Allegiance Advisors, a FINRA registered broker-dealer in Jacksonville, Fla. Chooses AdvisorVault's Direct Cloud Plug-in to archive and retain their email, data and Teams chats stored on Microsoft 365. Our Direct 17a-4 Cloud Plug-in helps them today’s data compliance demands “We chose AdvisorVault’s 17a-4 Cloud Backup Plug-in because it was the only option allowing us [...]

By |2024-01-16T22:29:17+00:00December 2nd, 2022|Microsoft 365 Compliance|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
Go to Top