AdvisorVault

Before I put our 17a-4 data archiving solution in place for FINRA firms, I show them a few tricks to help them automate the archiving of electronic records to close their data compliance gaps, By Allan Lonz, President, AdvisorVault

FINRA firms who want to use the cloud need to understand a few important things, particularly about SEC rule 17a-4, to make sure they use the cloud compliantly

AdvisorVault, the only designated third party (D3P) for small FINRA firms, adds new features to its SEC 17a-4 remote archiving solution.

By default the cloud is not 17a-4 compliant , FINRA firms need to add another layer to their cloud storage.

Worth Financial Group, a FINRA registered Broker-Dealer, has selected AdvisorVault's 17a-4 compliant remote archiving solution to make their Microsoft OneDrive compliant.

AdvisorVault Releases Improved 17a-4 Data Archiving Software To Help Small FINRA Firms Achieve Today Electronic Records Archiving and Supervision Demands

AdvisorVault's new site contains detailed guides, downloads, and documentation to help FINRA firms effectively fulfill SEC rule 17a-4

Evanston, IL. Core Wealth Planning an LPL Financial advisor, selects AdvisorVault as their third party vendor to help them with remote data backup and archiving of electronic records as required by SEC rule 17a-4. By Allan Lonz, CEO, AdvisorVault.org

It’s a shame that FINRA firms are still afraid to take advantage of the latest technology simply because of outdated compliance regulation. And today, most the confusion is caused by SEC rule 17a-4 with its archaic worm disk retention requirements.

A Consolidated Designated Third Party or D3P is a solution offered by a single provider, priced at one flat monthly fee that contains everything needed to achieve all the electronic records archiving requirements of SEC 17a-4.