SEC & FINRA Compliance Articles

As it becomes ever more difficult for compliance officers to monitor and reports their compliance activities, 17a-4, llc has bundled a number of its compliance services together into the 17a-4 Compliance Services Suite.  17a-4, llc has bundled together a number of compliance services into the 17a-4 Compliance Services Suite.  These offerings address many of the […]

SEC and FINRA regulations require that financial institutions retain communications with their customers.  Often overlooked are communications through chat windows on websites and social collaboration sites which allow customers, partners, vendors and support desks to communicate and collaborate. Millbrook, NY- Though email and instant messaging are well understood as necessary to retain by financial institutions, […]

FINRA Rule 2211 relates to institutional sales material and correspondence including supervision and review requirements and standards for recordkeeping and content.  The SEC Compliance DeskTop has added support for Rule 2211 to complement its other compliance platforms for Rule 17a-4 and Rule 15a-6. Millbrook, NY- The SEC Compliance DeskTop now provides the platform necessary to […]

In most institutions, there is more content in fileshares than there is email.  Though most of us find this statement hard to believe, survey after survey confirms it and finds that even regulated departments like compliance and legal use fileshares as their main repository for content. Millbrook, NY – Financial institutions, largely due to regulatory […]

Many financial institutions retain regulatory records on Microsoft’s Office365 SharePoint.  The SEC Compliance DeskTop (“DeskTop”) now can capture O365 SharePoint content and retain in full-compliance with SEC Rules SEA 17a-4, IAA 204-2 and CFTC 1.31. Financial institutions find that Microsoft’s Office365 Sharepoint is an easy and cost-effective way to retain records.  However, this cloud-based Sharepoint […]

The DataParser is leading compliance software to capture IM, chats and other database content into an archive.  FactSet Instant Messenger, an open collaboration platform designed to enhance the workflow needs of global financial professionals, is now supported.   17a-4’s DataParser software for messaging compliance now supports FactSet Instant Messenger (IM).  17a-4’s software allows institutions to […]

Under SEC Rule 15a-6, foreign broker-dealers are allowed to distribute research reports to U.S. institutional investors providing their work through a “chaperoning broker-dealer.”  The SEC Compliance DeskTop now provides a simple and cost-effective platform for managing research report approvals and distribution as well as complying with the retention requirements of SEC Rule 17a-4. By adopting […]

10 Steps for Email Disposition, from 17a-4, offers a “how to” checklist for managing corporate email and e-messaging records.  This guidebook is a must read for any institution without a retention policy. Millbrook, NY- 17a-4 llc has provided support to many institutions to develop and implement email retention and disposition programs and has formalized the […]

The DataParser is leading middle-ware to capture messaging and database content into an archive.  Pivot’s IMTRADER, an automated trade entry and execution platform, is now supported. 17a-4’s DataParser software for messaging compliance now supports Pivot’s IMTRADER.  Pivot Inc., a CME Group company, is recognized as the preferred communications network for buy and sell-side market participants seeking an unprecedented […]

17a-4’s ER Review provides a standard compliance review of all of the electronic repositories used by a financial institution to retain regulatory records and provides a comprehensive report whether it is in compliance with applicable regulatory requirements and financial industry ‘best practices.’ Millbrook, NY-17a-4’s Electronic Repository (“ER”) Review builds on the many consulting engagements in […]