SEC & FINRA Compliance Articles

17a-4 announces DataParser for Slack.  DataParser clients can now bring Slack communications into any compliance archive. Millbrook, NY – 17a-4, a software and services company enabling regulated clients to comply with SEC, FINRA and CFTC requirements, has announced its widely used DataParser now integrates with Slack.  DataParser is the leading on-premise compliance solution to collect […]

The new integration allows clients to supervise data in compliance with regulations and gain valuable insight into communications.  Analysis of sentiment, language and key phrases are supported. Millbrook, NY – 17a-4, LLC, a software and services company that enables regulated clients to comply with SEC, FINRA and CFTC requirements, has announced its widely used DataParser […]

Announcing the General Availability of the Teams DataParser.  The new module supports the collection of Microsoft Teams chats and channels. Millbrook, NY – 17a-4’s DataParser for Microsoft Teams is now available.  DataParser is the leading on-premise compliance solution to collect regulated data for retention in an archive.  Microsoft Teams is the new Office 365 chat-based […]

17a-4 has been analyzing the effects of email disclaimer language on compliance archives and supervision systems since 2015.  Recent findings regarding the percentage of email message body text which constitutes disclaimer language shows a dramatic 75% increase over the past 3 years.  Millbrook, NY – In February of 2015, 17a-4 LLC analyzed a sample of […]

17a-4 has released the Teams DataParser into Beta.  The new module supports collection of Microsoft Teams chat and channel data. Millbrook, NY – 17a-4’s DataParser for Microsoft Teams is now in Beta.  DataParser is a leading compliance solution to collect regulated data types for retention in an archive.  Microsoft Teams is the new chat-based workspace […]

17a-4 has a new lexicon for encrypted platforms.  Terms and phrases associated with encrypted messaging platforms have been curated by 17a-4’s Compliance Services team and are now available for clients.     Millbrook, NY – 17a-4’s new Encrypted Platform Lexicon provides a list of terms and phrases for financial compliance teams to easily discover if employees […]

e-disclaimer sale now through February 2018.  50% off a fully compliant hyperlinked email disclaimer service. 17a-4’s e-disclaimer is a fully compliant hyperlinked email disclaimer service with a managed repository.  Now and through February of 2018, all e-disclaimer purchases are half off. 17a-4 ‘s e-disclaimer: Hyperlinked email disclaimer service Fully compliant with regulatory requirements Provides legal […]

17a-4, llc, is developing subledger technology to provide D3P services to blockchain network users. Subledgers might be the answer to SEC 17a-4 compliance for blockchain systems. Millbrook, NY – 17a-4, llc, a leader in SEC Rule 17a-4 services, has begun to test blockchain subledgers as a means to provide Rule 17a-4(f) or the Designated 3rd Party compliance. […]

After extensive beta testing, the DataParser for Symphony is now released for general availability.  This interface allows Symphony administrators to bring communications into any archive. Millbrook, NY – 17a-4’s DataParser for Symphony has been released.  The DataParser is leading middleware to collect and format regulated data sources for retention in a compliance archive.  Symphony is […]

DataParser has released another module for general availability.  Microsoft’s Yammer is now supported. Millbrook, NY – 17a-4 has developed a module of DataParser to support Microsoft’s Yammer.  DataParser is 17a-4’s on-premise middleware solution to collect, format and deliver regulated data sources to an archive for retention.  Yammer is a best-in-class, secure, and private enterprise social […]