In today’s stringent regulatory environment, maintaining accurate and accessible compliance records is paramount. FINRA’s recent enforcement actions underscore the serious consequences of disparate record management, particularly when rollover data is deleted or mishandled.

InvestorCOM provides industry-leading solutions for secure and compliant record retention of rollover recommendations. With RolloverAnalyzer‘s 𝐍𝐚𝐭𝐢𝐯𝐞 𝐑𝐞𝐜𝐨𝐫𝐝 𝐊𝐞𝐞𝐩𝐢𝐧𝐠 and 𝐖𝐎𝐑𝐌 𝐑𝐞𝐩𝐨𝐬𝐢𝐭𝐨𝐫𝐲, your firm is always 𝐀𝐮𝐝𝐢𝐭 𝐑𝐞𝐚𝐝𝐲 for rollover data.

Discover how InvestorCOM can support your compliance needs: Click here to learn more.

Tags: 17a-4, Audit Ready, Native Record Keeping, rollover, Rollover Data, RolloverAnalyzer, WORM Repository, Write Once Read Many