SEC & FINRA Compliance Articles

Regulatory oversight, litigation risk and intellectual capital compel responsible businesses to archive data. An archive, when fully leveraged, can be a key tool to more effectively manage corporate knowledge and mitigate risk. Manage all your information in one location. Corporations use many different types of e-messaging (email, IM, wikis, blog posts, collaboration platforms) to conduct […]

17a-4’s DataParser™ is the leading e-messaging capture software supporting virtually all third party platforms (Microsoft Lync®, Bloomberg® BlackBerry® etc.). 17a-4 has now developed the DataParser™ for Squawker™, to capture regulated trading content for archive. Retention of this data is required by SEC’s Rule 17a-4 and other applicable regulations.   October 22, 2013 Millbrook, NY — […]

17a-4 has extended the capabilities of the DataParser software to capture the hosted version of Microsoft Lync™ available through Office 365™. The DataParser captures various forms of messaging and data stream content for ingestion and retention in an institutional email archive. September 30, 2013 Millbrook, NY – 17a-4’s DataParser compliance software can now capture the […]

Recent changes to SEC and FINRA regulations will need to be addressed by regulated institutions. 17a-4 offers compliance services to review rule changes and adjust corporate policy and procedures for continued compliance. Sept.19,2013 – 17a-4 is offering a Readiness for Proposed FINRA 3110 Review service for clients that need to comply with recent pending regulations. 17a-4’s service includes recommendations […]

17a-4 and Law Department Desktop have teamed up to provide 17a-4 DeskTop™, a facility for financial institutions to retain documents conforming to SEC Rule 17a-4 and other retention regulations.  The facility is hosted in the cloud in a SAS 70 Type II datacenter on Microsoft SharePoint™ servers. August 14, 2013 – Millbrook, NY – 17a-4 […]

17a-4 is now offering free 90-day trials of their DataParser software for Cisco’s Unified Communications platform with Jabber technology.  The DataParser for Jabber software captures messaging and formats the content for ingestion into an SEC-compliant archive.   July 30, 2013 – Millbrook, NY – 17a-4 llc, a compliance services and software firm, is offering extended […]

e-Dis.co has updated the EMRM Table with release v2.0 to include Social Media. The EMRM is used as the industry standard for tagging content to enable e-discovery. May 30, 2013 Millbrook, NY – In conjunction with leading e-discovery partners and corporate clients, 17a-4’s e-Dis.co division has released an enhanced version of the Electronic Messaging Reference […]

The DataParser is designed to facilitate modular development to continually extend interface support. Communication platforms and database systems can become compliant with custom developed DataParser modules that integrate with existing infrastructures. 17a-4 llc is continuing to enhance the DataParser™ with custom developments for message and database platforms. The DataParser’s lightweight, streamlined structure enables easy module […]

17a-4’s Monitor Services program provides for a “hands off” approach to archive governance. Companies that use 17a-4’s Monitor™ software and services can leave the daily management of their archive to certified 17a-4 archive engineers. March 27, 2013 Millbrook, NY — 17a-4 llc’s software and services have been used by leading institutions, since 2001, to cost […]

Jan. 30, 2013 Millbrook, NY — 17a-4’s latest software release, DataParser for SQL, has now been successfully installed in Fortune 500 companies seeking compliance. 17a-4 llc is an e-messaging compliance and litigation firm with a focus on compliance technology and software development. They design and implement solutions for institutions required to adhere to regulatory requirements […]