Allan Lonz

Posts by Allan Lonz

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What is the books and records electronic archiving rule?

The FINRA books and records rule or SEC 17a-4 outlines three main responsibilities for FINRA firms: One: It outlines which...

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What electronic records need to be retain to achieve SEC rule 17a-4?

The electronic records retention requirements of SEC rule 17a-4 or the SEC Books and Records rule, defines the following types...

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What’s the Difference Between Data Backup and Data Archiving?

When it comes to satisfying today’s data compliance regulation such as SEC 17a-4, the big question FINRA firms have to...

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What are the Key Features of an Effective 17a-4 Data Backup and Archiving Solution?

A proper data backup and archiving solution to meet SEC rule 17a-4 needs the following features: Comprehensive: Rule 17a-4 stipulates...

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What’s the difference Between Static Data and Dynamic Data?

To make sure data is properly protected for full compliance, it is important to understand the difference between the two...

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Whats an SEC 17a-4 Distributed Paperless Office?

A distributed paperless office is converting all documents to electronic, uploading them to the cloud, sharing them among clients, employees...

Six Features of an SEC 17a-4 Consolidated D3P

Six Features of an SEC 17a-4 Consolidated D3P

How to Choose Your FINRA (D3P) Small FINRA firms can’t spend thousands of dollars a year trying to keep compliant...

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Core Wealth Planning, an LPL Financial Advisor, Selects AdvisorVault for Data Archiving

AdvisorVault made it very easy for us to implement a compliant backup and archiving solution to archive electronic records on...

Understanding the difference between data backup and archiving

Understanding the difference between data backup and archiving

When it comes to satisfying today’s data compliance regulation such as SEC 17a-4, the big question FINRA firms have to...

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