Let’s go over three simple things you can do that’ll help your firm reduce tech spending while at the same time meet the demands of rule 17a-4: a really important thing these days, especially if you’re a small FINRA firm with a limited budget and no in-house IT staff.  (And want to keep it that […]

By Allan Lonz, President, AdvisorVault I started seriously thinking about cybersecurity for our customers about 2 years ago, (since we’re already a FINRA 17a-4 D3P archiving provider – it made sense to tackle this too)

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.