AdvisorVault

FINRA now allows member firms to use the cloud but cloud providers will not act as your designated third party (D3P). So firms need to outsource to a D3P with six key features built into their software before moving to the cloud.

AdvisorVault, today's experts on solving the data archiving demands of SEC rule 17a-4, announces new guidelines for small FINRA firms. By Allan Lonz, President - AdvisorVault

AdvisorVault, the only storage provider for small FINRA firms now has an elegant way to archive cloud data for 17a-4.

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