17a-4 llc’s D3P Service Now Bundles FINRA 3130 Tests

17a-4’s Designated 3rd Party (“D3P”) Annual Review service now incorporates FINRA 3130 archive testing which is required as part of a broker / dealer’s annual review. The combination of annual documentation and testing provides financial institutions a comprehensive archive review for a cost-effective fee. Millbrook, NY (PRWEB) June 28, 2012 17a-4 llc, an e-messaging compliance and e-Discovery firm, continues to enhance its compliance services by bundling documentation and testing into a single cost-effective offering. SEC Rule 17a-4(f)(3)(vii) requires all broker/ dealers to have a Desi
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