Despite the confusion FINRA created last year with their new audit trail option, AdvisorVault takes a unique approach to data compliance by partnering with Compliant Workspace helping small FINRA firms meet 17a-4 on Microsoft 365 TORONTO, ON – January 15, 2024 — / BackupReview.info / — The recent change FINRA made to 17a-4 allowing firms […]

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Elevate Your Compliance Game with AdvisorVault: Heritage Brokerage’s 17a-4 Trusted Partner Independence, KS – June 23, 2023 — / BackupReview.info / — Heritage Brokerage, a distinguished FINRA broker-dealer, has successfully overcome significant challenges related to their technology infrastructure and data compliance with the help of AdvisorVault, a trusted provider of comprehensive solutions. Recognizing the potential […]

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St. Petersburg, FL – March 24, 2023 — / BackupReview.info / — Today, many FINRA firms want to move their operations to the Microsoft 365 Cloud, but are worried how compliant they will be, specifically with rule 17a-4 and its email and data retention demands. They also need to meet FINRA’s cybersecurity requirements. Compliant Workspace […]

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NEW YORK, NY – September 28, 2021 — /BackupReview.info/ — AdvisorVault is now a certified Microsoft partner able to host Microsoft 365 apps for its customers and give them a Compliant WorkSpace in the cloud. For most small FINRA firms, technology has become a big mess. Stuck with an outdated email system that surely isn’t […]

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NEW YORK, NY – January 25, 2021 — /BackupReview.info/ — FINRA now allows member firms to use the cloud to store electronic records and emails, however cloud providers will not act as your designated third party (D3P). Therefore, if you are a FINRA firm, such as a broker-dealer, RIA or any other registered firm and […]

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By Allan Lonz, President of AdvisorVault March 16, 2018 Cloud Backup Expert Tips: Three Truths about Making the Cloud 17a-4 Compliant An important thing I’ve learned working with small FINRA firms over the past 12 years is their need to continually find ways to keep technology spending as low as possible yet keep regulators happy, […]

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Because cloud data isn’t retained for 7 years, anyone can delete files or emails at any time, and in order to remain compliant to 17a-4, FINRA firms need to add another layer to their cloud storage NEW YORK, NY – November 23, 2017 — /BackupReview.info/ — Small FINRA firms like Perth Advisors use the cloud […]

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AdvisorVault’s new site contains detailed guides, downloads, and documentation to help FINRA firms effectively fulfill SEC rule 17a-4 NEW YORK, NY – Oct. 12, 2016 — /BackupReview.info/ — AdvisorVault, the leader in 17a-4 data backup, has launched a new website. Designed to give small FINRA firms the most up-to-date tools to tackle today’s data compliance […]

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LPL Financial firm, Core Wealth Planning, selects AdvisorVault as their third party vendor to help them with remote data backup and archiving of electronic records as required by SEC rule 17a-4. AdvisorVault, www.advisorvault.org EVANSTON, IL – December 16, 2014 — /BackupReview.info/ — “AdvisorVault made it very easy for us to implement a compliant backup and […]

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