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. Follow this link to the complete Press Release… http://www.prweb.com/releases/2012/6/prweb9650150.htm  

Changes to Bloomberg ® Messaging

As of June 18th, 2012 Bloomberg will be enhancing the Account level daily compliance feed for Message and IBs.  The new data fields include Firm Number, Account Number and UUID for users of the account that the feed is set-up for.  All other users will see no changes to the feed.  In addition, this will […]