Since FINRA has given firms the green light to use the cloud, it’s important to understand how to make it 17a-4 compliant. Because compliance officers don’t want to get caught with their pants down.

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

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.

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 Stuck with an outdated email system that surely isn’t being archived as per 17a-4, they end up with their data stored all over the place on laptops, a bit in the cloud and some saved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 […]

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.

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.

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