SEC & FINRA Compliance Articles

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 […]

17a-4 provides industry insights for corporate messaging and regulatory compliance. The following offers highlights from 17a-4’s white paper on the next generation of financial supervision and FINRA Rule 3120 compliance.      Millbrook, NY – 17a-4, llc has released a review of how financial institutions can begin to take the appropriate steps to prepare for the next […]

17a-4 has developed support for HipChat Server. The DataParser for HipChat Server is now available.  Millbrook, NY – 17a-4 has released a new module of the DataParser to support Atlassian HipChat Server.  The DataParser is middleware to handle regulated data for retention in an archive.  HipChat is a popular communication platform gaining ground with corporate […]

17a-4 provides industry insights for corporate messaging compliance. The following offers highlights from 17a-4’s white paper on Supervision and Information Barriers. Millbrook, NY – 17a-4 llc has released a review of FINRA’s guidance concerning Supervision and Information Barriers with regards to corporate messaging compliance. The following is a summary of 17a-4’s white paper. 17a-4 has an […]

17a-4 llc provides Designated 3rd Party services for hundreds of broker dealer clients.  In an effort to continually enhance the Designated 3rd Party annual review, the process now includes many different types of repositories that may fall under the purview of SEC Rule 17a-4.  Millbrook, NY – 17a-4’s Designated 3rd Party Review now includes over […]