Resources

17A-4 COMPLIANCE RESOURCES

TRENDS AND INSIGHTS

Allegiance Advisors Chooses AdvisorVault’s 17a-4 Compliant WorkSpace

AdvisorVault’s Compliant WorkSpace helps FINRA firms reduce the cost of technology and compliance by moving them to the Microsoft Cloud

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The Facts About 17a-4 Cloud Compliance

An important thing I’ve learned working with small FINRA firms over the past 15 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.

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AdvisorVault Adds Office 365 to its Consolidated 17a-4 D3P Service

For most small FINRA firms, technology has become a big mess. Stuck with an outdated email system that surely isn’t being archived as per 17a-4, they end up with their data stored all over the place on laptops, a bit in the cloud and some saved on a server under the sink in the office […]

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What does a Cloud Provider need to be a FINRA D3P?

FINRA and 17a-4 Cloud Storage: I’ve notice there’s lots of talk these days about 17a-4 and choosing a cloud provider. Specifically, the problem surrounding the FINRA Designated Third-Party Provider or the 17a-4 D3P. For example, a FINRA firm such as

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AdvisorVault’s Consolidated 17a-4 D3P Unique to FINRA Firms

Choosing a vendor that offers a consolidated FINRA designated third party (D3P) service is one of the best ways for small FINRA firms to simplify and keep the cost of achieving compliance with rule 17a-4 low as possible.

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AdvisorVault Revolutionizes 17a-4 Archiving for Small FINRA firms

FINRA firms Now Using AdvisorVault for 17a-4 Cloud Compliance AdvisorVault’s new features are a game changer for small FINRA firms who want to use the cloud but are worried about 17a-4. With our unique consolidated

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The following guides have been created by AdvisorVault to help firms understand today’s demands surrounding data compliance, they are particularly helpful to small FINRA firms when designing their strategy around electronic records backup and archiving to achieve SEC rule 17a-4.

WHITEPAPERS

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SUCCESS STORIES

“As soon as we received FINRA approval of our BD registration, we launched AdvisorVault, they told us exactly how we should move forward with our data archiving to meet the D3P requirements ”

Kevin Smith, President, Seedchange Execution Services Inc.

“The way AdvisorVault approaches data backup and archiving, we replace our current backup solution fully with them to recover servers from failure ”

George Loukin, Infrastructure Manager, Autonomous Research

“AdvisorVault was at the top of the list when we looked at our entire disaster recovery/compliance/archiving/anti-spam platform and vendors…we eventually consolidated everything with them ”

Bennett Cole, President, FalconBridge Capital Markets, LLC

“Once we look a close look at AdvisorVault, we immediately engaged them for our data and email archiving. Additionally, they hosted a full Exchange email solution for records retention and supervision ”

Lindsay Wall, Managing Director & Partner, Longhouse Capital Advisors

“AdvisorVault was simple! They even helped us with the FINRA 17a-4 attestation letters; we immediately scrapped whatever we’ve backed up so far with our other provider and started with them ”

Michael J. Dugan, Chief Financial Officer DriveWealth, LLC

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