Monday, February 10, 2014

AdvisorVault Simplifies Electronic Records Supervision for FINRA firms

The ongoing supervision of electronic records for SEC rule 17a-4 is an ongoing challenge for FINRA firms such as broker-dealers and registered investment advisors. AdvisorVault offers features to simplify this process for FINRA firms.



via Technology - United States - Latest News http://ift.tt/1lsIKgs

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