The Designated Third Party (D3P)

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

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 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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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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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’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...

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...