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Rules such 17a-4 and the designated third party (D3P) requirement pose huge challenges for small financial firms who are members of FINRA. The key is understanding these rules and choosing the right technology to achieve them.

FINRA’s data compliance audit process is complex for small firms but understanding SEC rule 17a-4 Books and Records Retention and Archiving requirements is the key to success.

G.W. Sherwold Associates Inc, a registered Investment Advisory Firm, selects AdvisorVault for its electronic records archiving in accordance with FINRA and SEC rules

GMx Solutions announces a strategic partnership with AdvisorVault to create Blue Paper Cloud, the only compliant cloud solution for financial firms using Laserfiche

AdvisorVault, the only remote backup provider designated to small financial firms now protects customer data in the cloud. Members of FINRA and the SEC can now meet all the long-term retention and supervisory rules contained in 17a-3 and 17a-4.

AdvisorVault now includes a E-discovery interface with its compliant remote backup service. This combination is the only comprehensive solution to help small broker-dealer firms achieve all the stringent requirements of rules 17a-3 & 17a-4.

Securities firms using Laserfiche as their document management solution face challenges properly protecting the data associated with this program. Broker-dealer firms, for example, must incorporate rules 17a-4 and the D3P into their backup strategy

I often ask customers, “If your office burned down to ashes, what would you do?” This particular question is aimed to get the DR juices flowing and help paint a complete picture of the worst case scenario. SEC and FINRA are looking for a plan.

With their continuing advancements in technology, remote backup providers are now being used by small broker-dealer firms to achieve today's demanding data compliance requirements

Today, FINRA firms such as broker-dealers and RIAs must make the D3P a key part of their data compliance strategy. The FINRA (D3P) as outlined in rule 17a-3 &17a-4 is usually the last step of their data compliance process. By AdvisorVault.org