Achieve 17a-4 in Three Steps: A Guide for Small FINRA Firms

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 […]

AdvisorVault Now Checks all the Boxes for FINRA Cybersecurity

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)

Can You Make Microsoft 365 17a-4 Compliant?

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.

Allegiance Advisors Chooses AdvisorVault’s 17a-4 Compliant WorkSpace

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

The Facts About 17a-4 Cloud Compliance

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.

AdvisorVault Adds Office 365 to its Consolidated 17a-4 D3P Service

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 Stuck with an outdated email system that surely isn’t being archived as per 17a-4, they end up with their data stored all over the place on laptops, a bit in the cloud and some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

What does a Cloud Provider need to be a FINRA D3P?

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.

AdvisorVault’s Consolidated 17a-4 D3P Unique to FINRA Firms

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.

AdvisorVault Revolutionizes 17a-4 Archiving for Small FINRA firms

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 platform AdvisorVault now combines email and electronic records archiving to give centralized access to data stored in the cloud.

The following guides have been created by AdvisorVault to help firms understand today’s demands surrounding data compliance, they are particularly helpful to small FINRA firms when designing their strategy around electronic records backup and archiving to achieve SEC rule 17a-4.





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AdvisorVault has reinvented the way small FINRA firms look at data compliance