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

“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

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
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