SEC & FINRA Compliance Articles

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 […]

17a-4’s e-disclaimer sale is going on now through February 2017.  e-disclaimer is 17a-4’s fully compliant hyperlinked email disclaimer service. 12/13/16 – Millbrook, NY – 17a-4 is having their annual sale on e-disclaimer.  e-disclaimer is 17a-4’s hyperlinked email disclaimer service.  It’s compliant with a broad range of regulatory requirements and provides the legal protection required for […]

17a-4 is wrapping development of the next version of the DataParser.  The new version will include enhancements to logging, reporting, auto update features and proxy support. 11/8/16 – Millbrook, NY – 17a-4, a compliance software and services company, is wrapping up the next version of the DataParser for release in Q1 2017.  The DataParser is […]

The Financial Industry Regulatory Authority issued Regulatory Notice 16-29, for comments to proposed amendments to Rules 3220, 3221 and 3222. 17a-4’s SEC DeskTop has incorporated procedures to manage the proposed changes set forth in Notice 16-29. MILLBROOK, NY (PRWEB) OCTOBER 26, 2016 FINRA Regulatory Notice 16-29 requested comment on proposed amendments to Gifts, Gratuities and […]

Office 365 Security & Compliance Center continues to get new features. Third party data type classification and the recently announced Advanced Data Governance feature set offer more options to manage and control corporate data. Millbrook, NY – Office 365’s Security & Compliance Center continues to be enhanced with new features.  The latest improvements include third […]

17a-4 continuously develops features for DataParser supported platforms.  The latest enhancement offers new collection methods for the Skype for Business Online module. 9/28/16 – Millbrook, NY – 17a-4 has added features to the DataParser’s Skype for Business Online module.  The DataParser collects, formats and controls regulated data sources.  The Skype Online module pulls users’ content […]

17a-4 llc is a leading compliance firm managing SEC, FINRA and CFTC regulations for hundreds of financial institutions. As such, it provides guidance for rule interpretation and regulatory compliance, in this case, regarding compliance documents. Millbrook, NY – 17a-4 offers industry insights and best practices for handling data retention policy and procedures in accordance with […]

17a-4 provides Designated Third Party services for hundreds of regulated firms.  Technical reviews have been expanded for CFTC, CPO and CTAs to continually improve and provide comprehensive compliance consulting services to all clients. Millbrook, NY – 17a-4 has expanded Designated Third Party technical reviews for CFTC, CPOs and CTAs.  Many broker/dealers and registered investment advisors […]

The DataParser is a middleware solution for compliance that collects, formats and delivers Jabber messaging to an archive for retention.  The DataParser supports the latest version of Cisco’s IM&P and Jabber.  7/26/16 – Millbrook, NY – 17a-4 has completed another round of testing with Cisco to confirm DataParser version 7.5.2 support for the latest release […]