What does SEC Rule 17a-4 mean for our email and messaging?▼
Rule 17a-4 requires broker-dealers to preserve certain records, including business communications, for set periods and in a way that prevents alteration or allows a complete audit trail, an option added by the 2022 amendments. In practice that means routing every approved channel into an archive built for broker-dealer recordkeeping and confirming capture works. We configure and monitor those connectors and give principals review access. Your CCO decides which channels are approved and how records are retained.
Our reps are independent contractors with their own offices. How much can we control?▼
Enough to protect customers and meet your supervisory duties. Firms commonly require a minimum technology standard as a condition of affiliation: managed devices or a firm-issued laptop, encryption, MFA, endpoint protection and a secured branch network. We enroll and monitor branch devices against that standard and provide reports for branch inspections. Reps keep control of their business; the firm gets assurance that customer data is handled on equipment it can see.
How do you help test our FINRA 4370 business continuity plan?▼
We map the plan's technical dependencies: data backup and recovery, alternate communications with customers and regulators, access to clearing and order systems and the people who need to work from elsewhere. Then we test them, failing over systems, working from the alternate location or remotely and confirming customers can still reach the firm. Results and fixes get documented for the annual review your plan requires. Your CCO and senior management approve the plan itself.
Does Regulation S-P apply to us the same way it applies to RIAs?▼
Broker-dealers and SEC-registered advisers are both covered by Regulation S-P, including the 2024 amendments requiring an incident response program, service provider oversight and customer notification. The difference is the surrounding framework: broker-dealers also answer to FINRA supervision, books and records and continuity rules, and FINRA exams look at cybersecurity through that lens. Dual registrants need a program that works for both. We build controls and evidence that fit your registrations.
What about account takeover and new account fraud?▼
Regulation S-ID requires a written identity theft prevention program with red flags, and FINRA has repeatedly warned firms about account takeovers and synthetic identities. Your operations and compliance teams own those procedures. We supply supporting controls: alerts on changes to customer email, phone or banking details, verification steps before disbursements, email impersonation protection and logs that help investigate a suspicious request. We also protect the staff accounts attackers target to make those changes.
We're an introducing firm on a clearing platform. Which parts of IT stay with our firm?▼
Your clearing firm runs the custody and clearing systems, but your firm owns everything around them: user access to the platform, rep devices, email and archiving, branch networks, customer communications, vendor oversight and continuity planning. Most incidents at introducing firms start with a compromised user or device on your side. We manage those layers, review platform access with your operations team and coordinate with the clearing firm's support. We work with broker-dealers in Texas and nationwide.
Do you provide Broker in Houston and nearby areas?▼
Yes. LayerLogix is based in the Greater Houston area and delivers broker to businesses across Houston and the surrounding communities, including The Woodlands, Spring, Katy, Sugar Land, Conroe, Cypress, and Pearland. For most Houston-area clients we can be on-site the same day when something needs hands-on attention, and our help desk is available during business hours, with after-hours emergency support. Call 713-571-2390 to check coverage for your specific address.
What does Broker cost for a Houston business?▼
Pricing depends on your size and what you need, so we do not publish a one-size-fits-all number — but Houston businesses generally pay a flat, predictable monthly fee rather than surprise hourly bills. We start with a free, no-obligation assessment of your current setup, then give you a clear quote in plain English with no hidden costs. That way you know exactly what you are getting and what it costs before you commit.