SEC & FINRA Compliance Articles

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 […]

Not only do many types of SEC and FINRA documents have to be retained, but the review and evidence of the approval process must be retained as well. 17a-4 offers workflows for compliance that provide for tracking and reporting.  There are many different types of SEC and FINRA compliance documents which require a principal to […]

17a-4’s Annual End of the Year e-Disclaimer Sale: 50% Off or Included with Any DataParser Install Until 2015 17a-4 offers half off their e-Disclaimer service or included with any purchase of the DataParser until the end of the year. e-Disclaimer is a compliant hyperlinked email disclaimer service. 17a-4 is having their annual 50% off sale […]

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 […]