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Xtiva launches Xtiva Vault to provide enhanced long-term data retention…

New service will provide SEC Rule 17a-4 compliant deep storage solution for investment firms to enhance long-term data retention and protection.

SEO Best Practices for Financial Advisors

Improve your search ranking as a financial advisor with a few key tips and tricks — no expensive tools or experience necessary.

Select Findings and Fines Related to SEC Record Retention Rule…

BOK Securities BOK failed to maintain thousands of brokerage record in a non-erasable, non-rewriteable format, resulting in a fine of $175,000. The findings stated that the firm failed to maintain…

3 Commonly Overlooked Records Subject to SEC Rule 17a-4

Don't overlook these three categories of documents that meet the books and records standard under SEC Rule 17a-4 for broker-dealers.

Financial Advisor Marketing: How to Market to Millennials

As millennials grow older, it's time to adapt your strategy to include younger clients in your practice.

Tips for Surviving a FINRA Audit of 17a-4 Compliance

Tips to help broker-dealers be “audit ready” for compliance with the records retention provisions of Rule 17a-4 of the Exchange Act.

7 Tools to Optimize Client Communications as a Financial Advisor

These 7 tools will save you time and money while improving your client relationships.

Wealth Management Compensation in a Reg BI World

An overview of Regulation Best Interest (Reg BI) and the changes it will bring for investment firms and advisors, as well as customers.

Understanding SEC Rule 17a-4

This article clarifies various aspects of SEC Rule 17a-4 regarding the preservation and maintenance of records.

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