SEC & FINRA Compliance Articles

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 […]

The archiving third-party data feature in Office 365 is now generally available.  17a-4’s DataParser software brings the third-party data sources into Office 365 for compliance management. Millbrook, NY – 17a-4’s DataParser and Office 365’s new feature for archiving of third-party data is in general availability and can now be used to pull Bloomberg, Cisco Jabber, […]

17a-4 provides Designated Third Party services for hundreds of broker dealer clients.  Complementing the annual electronic records retention review, 17a-4 now examines the broker dealer’s e-Discovery search, review and production procedures.  Millbrook, NY – 17a-4 has improved its Designated Third Party (D3P) service offering to incorporate e-discovery best practices.  Annually, 17a-4 reviews with broker dealer […]

17a-4, llc provides Designated Third Party services to broker dealers.  This service is now available to clients using Office 365 for compliance. Millbrook, NY – 17a-4 now provides Designated Third Party services for broker dealers with Office 365.  Microsoft’s Office 365 has developed the required internal controls to comply with the technical requirements of SEC […]

17a-4 announces Office 365’s Preview feature to import and archive third-party data. 17a-4’s DataParser software brings the third-party data sources into Office 365 for compliance management. Millbrook, NY – 17a-4 and partner Office 365 announce the new Preview feature that allows for the import and archiving of third-party data.  The third-party data archiving ability extends […]

17a-4 has added new features to the Rule 15a-6 module of the SEC DeskTop to expedite foreign research review, approval and redistribution.  The DeskTop is a compliant platform to manage regulated broker dealer records. Millbrook, NY- 17a-4 continues to expand the features of the SEC DeskTop for broker dealer compliance. Under SEC Rule 15a-6, foreign […]

17a-4 is having their annual e-Disclaimer sale.  e-Disclaimer is a compliant hyperlinked email disclaimer service currently offered at half off or included free with any purchase of 17a-4’s DataParser software until the end of the year. 17a-4 is having their annual sale on e-Disclaimer.  e-Disclaimer is a hyperlinked email disclaimer service that is fully compliant […]

The DataParser now has extensive auto update features that will allow clients to receive all the major and minor versions of modules as they are released.  The expanded auto update feature is one of many new enhancements to the core product that are being rolled out throughout 2015.   Millbrook, NY – 17a-4 continues to […]

17a-4 now offers a Complaint module on its SEC-FINRA DeskTop solution.  This module provides a compliant solution to FINRA and SEC requirements for managing customer complaints. Millbrook, NY – 17a-4 expands the DeskTop offering with the Complaint Module.  Financial institutions are required to ‘identify, resolve and handle’ customer complaints.  These regulations include FINRA Rules 3110(b)(5) […]