Trending...
- Warrant Activity, AVERSA™ Progress and a Potentially Transformative Fall Take Center Stage: Nutriband Inc. (N A S D A Q: NTRB)
- Santa Your Way Announces Official 2026 Q4 Holiday Tour: Booking Open For Santa, The 5-star Grinch, And Dual Character Experiences Nationwide
- Gabby Press Earns High Praise From Feathered Quill About the Unregulated Dangers of Second Generation Corporate AI
AdvisorVault gives broker-dealers a step by step guide on how to simplify your 17a-4 FINRA compliance, especially pertaining to cloud archiving & Microsoft 365 .
ST. PETERSBURG, Fla. - ncarol.com -- HOW TO SIMPLIFY YOUR FINRA 17A-4 COMPLIANCE:
As a compliance officer for a small - mid sized FINRA firm with a limited budget and no in-house IT staff, reducing tech spending while meeting the compliance demands of rule 17a-4 is a critical concern. While it may seem like a daunting task, today our experts at Advisorvault are going to walk you through this process step by step. In this article we will summarize exactly what you need to do in order to achieve your compliance targets:
The first and most pertinent step is that you need to get everyone in your firm on a complete cloud based platform. Our consolidated Microsoft 365 service is well known as the best option for small - mid sized FINRA firms. This is because for a flat monthly fee 17a-4 compliance is guaranteed while making sure that each one of your employees gets everything they need to do their job.
This includes a full Exchange email account, company-wide data storage on SharePoint, individual data storage on OneDrive, Teams for collaboration, and a centralized web portal for managing everything.
Once everyone is on Microsoft 365, it's essential to migrate all of your data and emails to ensure that information is not stored in multiple locations, leaving gaps in your 17a-4 compliance. This consolidation is a requirement of FINRA, which mandates that electronic records and email archiving be consolidated onto a single platform to facilitate long-term archiving and retention of data for FINRA.
More on ncarol.com
The second step in this process is to simplify your data compliance. To do this you must create a clear IT policy that gives clear guidelines to all employees in your firm as to what technology they can and cannot use. This is especially important when it comes to what forms your representatives use to communicate with customers. The compliance officer should sign off on this policy and it should be designed to keep data compliance costs as low as possible.
Once on Microsoft 365, representatives should only use their Microsoft email or Teams to communicate, and the firm's books and records will be stored on SharePoint or OneDrive only. This IT policy makes it clear what data needs to be retained for 17a-4 compliance, making it easier for FINRA during their 17a-4 electronic records request.
The third and final step (also the most important) is to choose a FINRA approved Designated Third Party (D3P) that will guarantee your company is complying with all FINRA regulations, especially relating to rule 17a-4. Choosing the wrong option can end with disastrous results if combined with an audit.
AdvisorVault's consolidated D3P archiving service is an excellent option for small-mid sized FINRA firms. This service archives and retains data for seven years in its original, non-modified format, providing all third party 17a-4 attestation letters when required, and ensuring your firms data is available to FINRA during an audit.
Our consolidated D3P service plugs right into the Microsoft 365 cloud and archives all employees' records on our secure systems in order to meet 17a-4 compliance. This turnkey solution incorporates:
More on ncarol.com
In order for a broker-dealer firm to keep data compliance spending as low as possible while complying with FINRA rule 17a-4, they should follow these three simple steps:
1) Move all company data to a fully integrated cloud platform like Microsoft 365
2) Create a clear IT policy directing employees as to which platforms are mandatory for communications (Microsoft email, Teams, SharePoint, and OneDrive).
3) Choose a consolidated D3P like AdvisorVault, to ensure your company is fully FINRA compliant, especially when it comes to 17a-4 cloud archiving and Microsoft 365.
AdvisorVault is one of the only FINRA D3P's with a consolidated data archiving service designed to meet FINRA's stringent data compliance regulations.
Our proprietary approach to data archiving streamlines the process of compliance, providing peace of mind for FINRA firms of all sizes. For one flat monthly fee, it is the only compliant D3P service that a FINRA firm will ever need.
Learn more and get your free consultation today at www.advisorvault.org.
Allan Lonz, President
alonz@advisorvault.org
direct: 416-985-0310
Toll free: 1-866-732-1407 ex 1
As a compliance officer for a small - mid sized FINRA firm with a limited budget and no in-house IT staff, reducing tech spending while meeting the compliance demands of rule 17a-4 is a critical concern. While it may seem like a daunting task, today our experts at Advisorvault are going to walk you through this process step by step. In this article we will summarize exactly what you need to do in order to achieve your compliance targets:
The first and most pertinent step is that you need to get everyone in your firm on a complete cloud based platform. Our consolidated Microsoft 365 service is well known as the best option for small - mid sized FINRA firms. This is because for a flat monthly fee 17a-4 compliance is guaranteed while making sure that each one of your employees gets everything they need to do their job.
This includes a full Exchange email account, company-wide data storage on SharePoint, individual data storage on OneDrive, Teams for collaboration, and a centralized web portal for managing everything.
Once everyone is on Microsoft 365, it's essential to migrate all of your data and emails to ensure that information is not stored in multiple locations, leaving gaps in your 17a-4 compliance. This consolidation is a requirement of FINRA, which mandates that electronic records and email archiving be consolidated onto a single platform to facilitate long-term archiving and retention of data for FINRA.
More on ncarol.com
- Independent Autopsies Are Changing Civil Cases: Kansas City Forensic Explains Why Families Are Seeking Second Opinions
- JEGS Launches Transformed Digital Commerce Platform Powered by PhaseZero
- Subject matter experts: Present your ideas at IISE Annual Conference 2027 in Louisville
- Cummings Graduate Institute Celebrates New Doctor of Behavioral Health Graduates
- Data Tiles Challenges the Data Product Status Quo Following Antwerp Summit
The second step in this process is to simplify your data compliance. To do this you must create a clear IT policy that gives clear guidelines to all employees in your firm as to what technology they can and cannot use. This is especially important when it comes to what forms your representatives use to communicate with customers. The compliance officer should sign off on this policy and it should be designed to keep data compliance costs as low as possible.
Once on Microsoft 365, representatives should only use their Microsoft email or Teams to communicate, and the firm's books and records will be stored on SharePoint or OneDrive only. This IT policy makes it clear what data needs to be retained for 17a-4 compliance, making it easier for FINRA during their 17a-4 electronic records request.
The third and final step (also the most important) is to choose a FINRA approved Designated Third Party (D3P) that will guarantee your company is complying with all FINRA regulations, especially relating to rule 17a-4. Choosing the wrong option can end with disastrous results if combined with an audit.
AdvisorVault's consolidated D3P archiving service is an excellent option for small-mid sized FINRA firms. This service archives and retains data for seven years in its original, non-modified format, providing all third party 17a-4 attestation letters when required, and ensuring your firms data is available to FINRA during an audit.
Our consolidated D3P service plugs right into the Microsoft 365 cloud and archives all employees' records on our secure systems in order to meet 17a-4 compliance. This turnkey solution incorporates:
- All company users emails
- Complete Outlook profiles
- Contacts and calendars
- Any documents saved in SharePoint and OneDrive
- A full archive of team chats
More on ncarol.com
- Visit London Appoints The SEO Works for AI-First Search Strategy
- Inglewood Associates and Gordon Brothers Provide Update on Sale Process for 925 Euclid Avenue in Cleveland
- Century Fasteners Corp. Exhibiting at the 2026 International Fastener Expo
- Las Vegas Attorney Thomas Boley Publishes Free Plain-English Guide to 100 Nevada Criminal Laws, in English and Spanish
- Bank Statement Loans Up to $30 Million: Lendmire Announces High-Net-Worth Financing
In order for a broker-dealer firm to keep data compliance spending as low as possible while complying with FINRA rule 17a-4, they should follow these three simple steps:
1) Move all company data to a fully integrated cloud platform like Microsoft 365
2) Create a clear IT policy directing employees as to which platforms are mandatory for communications (Microsoft email, Teams, SharePoint, and OneDrive).
3) Choose a consolidated D3P like AdvisorVault, to ensure your company is fully FINRA compliant, especially when it comes to 17a-4 cloud archiving and Microsoft 365.
AdvisorVault is one of the only FINRA D3P's with a consolidated data archiving service designed to meet FINRA's stringent data compliance regulations.
Our proprietary approach to data archiving streamlines the process of compliance, providing peace of mind for FINRA firms of all sizes. For one flat monthly fee, it is the only compliant D3P service that a FINRA firm will ever need.
Learn more and get your free consultation today at www.advisorvault.org.
Allan Lonz, President
alonz@advisorvault.org
direct: 416-985-0310
Toll free: 1-866-732-1407 ex 1
Source: AdvisorVault
0 Comments
Latest on ncarol.com
- Michael H. Kaplan Advocates for Seriously Injured Colorado Workers Who Need In-Home Care
- She Writes Python and Produces Music. KayeDinero Has a Question About AI Artists
- Infinity Infusion Solutions Named Finalist for D Magazine's D CEO 2026 Excellence in Healthcare Awards
- There and Back comes to Hillsborough
- One Mile North of 8 Mile: KayeDinero Connects Detroit and Asheville on "Nine Mile"
- Gabby Press Earns High Praise From Feathered Quill About the Unregulated Dangers of Second Generation Corporate AI
- Canadian Tint Expo 2027: Why Every Window Tinter Should Compete in Niagara Falls on April 3rd & 4th
- Detroit Roots, Film Scores and Python Shape KayeDinero's Asheville Sound
- Building a Diversified Healthcare Platform as Exosome Science, Telehealth, Diagnostics & Strategic Acquisitions Converge: NexTel Medical (OTCID: MAJI)
- Most Indiana Plane Crashes Happen Away from the State's Major Airports
- L2 Aviation Welcomes Jason Marshall as Vice President of Sales and Business Development
- Mom Era, Still That Girl: Family Art Tees 25% Off
- Fashion vs. Fascism - Because Democracy Should Always Be In Style
- From Degrassi to Cass Tech: The Unexpected Influences Behind Asheville's KayeDinero
- Lee Gunn IV Shares Lessons From 40 Years in the Courtroom on PodNumbra Podcast
- KayeDinero Takes "Appalachia" Above the Blue Ridge With New Aerial Music Visual
- Michael H. Kaplan Recognized for 17 Years on PHPA Workers' Compensation Panel and Advocacy for Professional Athletes
- International Society of Medical AI Convenes Global Faculty in Florence for ISMAI 2026
- Boston Industrial Solutions Introduces Personalized Printing Training
- Century Fasteners de Mexico Exhibiting at the 2026 Automotive & Aerospace Nearshoring Summit