AdvisorVault’s Best Practice for SEC Rule 17a-4: A Guide for Small FINRA Firms
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NEW YORK, Jan. 14, 2017 /PRNewswire/ —
By Allan Lonz, president. AdvisorVault, www.advisorvault.org
Introduction
In previous articles I talked extensively about the unique challenges small FINRA firms face due to SEC rule 17a-4 and the demands it places on compliance officers…
Source: http://www.prnewswire.com/news-releases/advisorvaults-best-practice-for-sec-rule-17a-4-a-guide-for-small-finra-firms-300391115.html
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