SEC & FINRA Compliance Articles

The DataParser is leading middleware for messaging compliance.  This new interface will support the collection and formatting of Cisco’s Call Center Chats.   Millbrook, NY – 17a-4’s DataParser now supports the collection and formatting of Cisco’s Call Center Chats for compliance.  This new module of the DataParser will pull the call center agents chats from […]

17a-4 is releasing the latest module of the DataParser software to support InvestEdge.  Clients can now use the DataParser to bring regulated data from InvestEdge’s client portal into compliance with governing SEC, FINRA and CFTC regulations.  17a-4 has now released DataParser for InvestEdge.  The DataParser is used by hundreds of regulated institutions of all sizes […]

17a-4 continues to enhance features for all DataParser platforms as data source partners make them available.  The latest development comes to Skype for Business Online with the ability to collect whiteboards, polls and Q&A data. Millbrook, NY – The Skype for Business Online DataParser now supports the collection of whiteboards, polls and Q&A data from […]

Communications with public and institutional clients are required to be retained (SEC Rule 17a-4, FINRA 2210), however, meeting tools such as Microsoft’s Skype for Business, Cisco’s WebEx and Citrix’s GoToMeeting have different and somewhat difficult capture methods.  The following describes 17a-4’s guidance as to ‘best practices’ to capture this content and archive in accordance with […]

17a-4 llc is a leading compliance firm managing SEC, FINRA and CFTC regulations for hundreds of financial institutions.  As such, provides guidance for rule interpretation and compliance, in this case, regarding workflow review. Millbrook, NY- SEC Rule 17a-4 and CFTC 1.31 outline the regulatory requirements for institutions, ‘exclusively using electronic storage media for some or […]

17a-4’s DataParser supports Microsoft’s Lync Server and Lync Online collection for archiving and compliance.  Microsoft has rebranded these platforms to Skype for Business.   May 13, 2015 Millbrook, NY – Microsoft’s Lync is now Skype for Business, a communications and collaboration platform that brings together a client experience inspired by Skype with the enterprise-grade security, […]

The DataParser is a middleware solution for compliance that collects and formats Jabber messaging for archive and e-discovery.  The DataParser now supports the latest version of Cisco Jabber 10.6.  4/30/15 – 17a-4’s DataParser now supports the latest release of Cisco Jabber version 10.6.  The DataParser is the leading solution to manage corporate data for e-discovery […]

17a-4’s DataParser for Blackberry now supports Blackberry Enterprise Server (BES) 12.  The DataParser is leading middleware to capture messaging and database content into an archive.    April 21, 2015 – Millbrook, NY- 17a-4’s DataParser now supports Blackberry Enterprise Server (BES) 12.  The DataParser software captures e-messaging, data streams and database content for archival ingestion.  The […]

17a-4 has enhanced the DataParser for Jabber’s features to support the archiving of in line image attachments. The new feature of the Jabber module supports capture of all images transferred in IMs, Multi-Party Chats and Persistent or Group Chat Rooms. Millbrook, NY (PRWEB) March 11, 2015 17a-4’s DataParser for Jabber has added support for image […]

17a-4 has enhanced the DataParser for Jabber’s features to support the archiving of file transfers. The new feature of the Jabber module supports capture of all files transferred in IMs, Multi-Party Chats and Persistent or Group Chat Rooms. 2/19/15 – Millbrook, NY – The DataParser for Jabber has added support for file archiving.  The DataParser […]