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17a-4 llc’s D3P service now bundles FINRA 3130 tests

June 28, 2012

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…