Allan Lonz

Posts by Allan Lonz

Understanding the AdvisorVault Consolidated Designated Third Party™ (D3P)  Service – Download Guide

Understanding the AdvisorVault Consolidated Designated Third Party™ (D3P) Service – Download Guide

What Financial Professionals Are Saying About AdvisorVault  Download Guide

Compliance for Small FINRA Firms – Download Guide

Compliance for Small FINRA Firms – Download Guide

    What Financial Professionals Are Saying About AdvisorVault    Download Guide    

Understanding the Difference between Data Backup and Data Archiving – Download Guide

Understanding the Difference between Data Backup and Data Archiving – Download Guide

        What Financial Professionals Are Saying About AdvisorVault        Download Guide

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What Does SEC Rule 17-4 Mean for Small FINRA Firms?

Although SEC rule 17a-4 is the de facto regulation used by FINRA, it has special significance for small firms such...

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How do Small FINRA Firms Outsource 17a-4 Electronic Records Archive?

Since FINRA realizes small FINRA firms don’t have the IT budgets to perform the archiving of electronic records themselves, they...

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How Can FINRA Firms Make the Cloud 17a-4 Compliant?

The cloud surely is a viable option for small FINRA firms to store data. Broker-Dealers for example can effectively use...

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What is the FINRA Electronic Records Request?

During an audit, FINRA will surely perform an electronic records request. This request is a sample data set from the...

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What Does FINRA Expect from Broker-Dealers During an Audit?

There is essentially three things FINRA will demand during an audit: One: Reproduce the communications made from registered reps to...

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Is Worm Disk the Only Way to Retain Data for SEC Rule 17a-4?

Broker-Dealers are no longer restricted to using only worm disk to store electronic records to satisfy rule 17a-4.  This used...

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How Long do FINRA Firms Need to retain their books and records?

SEC rule 17a-4 directs FINRA firms to maintain and keep books and records for 3 yrs., certain records for longer....

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