SEC & FINRA Compliance Articles

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 […]

17a-4 is developing a module of the DataParser to support Microsoft Teams.     17a-4 is developing a new module of the DataParser to support Microsoft Teams.  The DataParser is a leading compliance solution to collect regulated data types for retention in an archive.  Microsoft Teams is the new chat-based workspace in Office 365.  DataParser will […]

17a-4 will be releasing support for Symphony. The Symphony DataParser is now in beta testing.  17a-4 is developing a module of the DataParser to support Symphony.  The DataParser collects and formats regulated data sources for retention in a compliance archive.  Symphony offers a secure, cloud-based communications service that delivers the next wave in organizational productivity […]

17a-4 is developing support for Yammer. DataParser for Yammer is now in beta testing. 17a-4 is developing a new module of the DataParser to support Yammer. The DataParser is middleware to collect and format regulated data for retention in an archive. Microsoft’s Yammer lets users communicate, share files and work in groups organized by project […]

Independent Custodian services for e-communication encryption key management are now available to 17a-4 clients.  The new service allows clients to use encrypted e-communications and still be in compliance with SEA Rule 17a-4. Millbrook, NY –  Many Broker /Dealers and Registered Investment Advisors are using third-party communication platforms that feature end-to-end data encryption to protect confidential […]

17a-4 provides Designated Third Party services for clients required to adhere to SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations.  An updated compliance records list to assist with internal 17a-4 records reviews is now available.       Millbrook, NY – -17a-4, LLC has prepared an updated a list of compliance records required to be retained […]