Preparing for a FINRA Audit:
Strategies for your ESM and D3P Success

Strategies For Your ESM And D3P Success | Iron Mountain

Are you responsible for maintaining compliance at a brokerage firm or a broker doing business with the U.S. public? If so, you will likely be audited by the Financial Industry Regulatory Authority (FINRA).

During a FINRA audit, they will check to see if you are compliant around the use of your Electronic Storage Media (ESM) with your Designated Third Party (D3P), specifically around SEC Rule 17A-4.

In this report, you'll learn about:

  • What the rules are and if they pertain to you
  • What happens if you are not compliant 
    (Read: Fines $$$)
  • How Iron Mountain can help you maintain compliance and avoid penalties

Complete the form to get your copy.