SEC & FINRA Compliance Articles

According to S&P Global Market Intelligence, revenues from the securities lending industry increased 4% year-on-year (YoY) to US$1,079 million for April.[1] As the fully paid securities lending (FPL) market grows due to investor appetite for yield-enhancement strategies, the associated regulatory scrutiny for industry participants will continue to be a key area of regulatory focus.  To […]

DataParser is adding support for Cloud9 to the list of interfaces. Symphony’s Cloud9 is the leading cloud-native trader voice system connecting traders, brokers and front office financial professionals. Built for innovative trader voice communication, Cloud9 offers seamless deployment, rich telephony features, and data-powered insights.  The Cloud9 DataParser will collect call data and recordings directly from Cloud9 […]

Before 2024, 80% of clients used DataParser to capture data sources like Microsoft Teams, Viva Engage and SharePoint to ingest into their archive of choice for compliance and eDiscovery.  More recently, we’ve seen the tide reverse as most clients now leave their Microsoft content on M365 and use Purview to also review data from third-party […]

DataParser has a new output option to send files into a SharePoint library.  Similar to how the Azure Blob output feature works – size limitations can be set to match the archive limit so that any file larger can be stripped from the message/chat/meeting and replaced with a working link to the file in a […]

Legalweek 2025 runs from March 24th –27th.  Renowned as the industry’s beacon for legal technology, this conference is where the legal community convenes to decode the future. The biggest names in industry will explore emerging trends, spotlight the latest tech, and offer a roadmap through the industry’s seismic shifts. 150+ leading technology sponsors and exhibitors […]

17a-4 spotlights Slack into Purview.  The fastest growing connector in DataParser’s lineup is helping Slack clients bring their data into the M365 archive. 17a-4’s DataParser, the leading connector for bringing third-party data into archives and eDiscovery systems, presents Slack and M365 Purview as its fast growing data source and archive connection.  Sending Slack data into […]

New versions of DataParser are rolling out now! We’ve added enhancements to the core processes and data source modules including Slack, Microsoft Teams, Webex, Zoom and more!   Meetings, Reactions, Transcripts and more! The features and process improvements help our clients stay on the latest versions of their chosen data source and use all the […]

Many financial organizations use Bloomberg downloads to capture Bloomberg messaging for SEC, FCA and FINRA compliance.  Though these processes have been in place for many years, the introduction of AI platforms like Microsoft’s Copilot means that the capture mechanisms in place should be revisited so AI can fully leverage the messaging and market information.  Bloomberg […]

The excitement surrounding AI and Microsoft’s Copilot is now meeting the impasse of siloed content. Though IT teams have been working hard to integrate disparate repositories of data, such efforts often meet with user resistance and licensing. Perhaps the easiest (and fastest) solution is to transfer the critical content from platforms like ServiceNow, Bloomberg or […]

Teams custom emojis and reactions can now be archived with DataParser.  Capturing users’ reactions along with chat content enables context in the Teams conversation.    17a-4’s DataParser, the leading connector for bringing third-party data into archives and eDiscovery systems, has enhanced support for the collection of Microsoft’s Teams with capture of users’ custom emojis and […]