SEC & FINRA Compliance Articles

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 […]

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 […]