SEC & FINRA Compliance Articles

Regulated institutions are under pressure to capture and monitor text messaging.  Rather than react by incurring the cost of new technologies, firms should first analyze their specific requirements, review existing communication channels, and institute annual text messaging use policies and employee attestations. Due to recent SEC fines, text messaging compliance has become a topical and […]

The Securities and Exchange Commission has voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers.  These amendments make significant changes to SEC Rule 17a-4 and address regulations which apply to write-once, read-many (“WORM”) and the requirement for a Designated 3rd Party (“D3P”) (Rule 17a-4(f)(3)(vii)). […]

New versions of DataParser for Slack, Webex and Zoom are now available.  17a-4 continues to add new features to DataParser to support the latest released versions of supported data sources.    17a-4’s DataParser, the leading independent connector solution to collect and format third party data for archiving and eDiscovery, continues to add features to major […]

17a-4 announces work has begun on DataParser 8.  This next major version will have new security, reporting, analysis and interface features. 17a-4’s leading connector solution to collect chats and documents into archives is getting a major update.  DataParser, widely adopted in financial services, has rapidly expanded into many new verticals with the proliferation of remote […]

DataParser has added support for Webex Meetings chat. This new version of the Webex module of DataParser is in testing and will be released soon. 17a-4, LLC has released a new version of Webex DataParser that now supports collection of in-meeting chats from Webex Meetings.  DataParser is a leading compliance solution to bring third-party data […]

Many of our financial clients have set up Supervisory Policies that allow FINRA registered employees to use Zoom for video but not to use Zoom’s chat feature.  This addresses the concern that written communication is required to be retained in accordance with SEC Rule 17a-4. However, the question is how can a financial institution ‘prove’ […]

The Challenge of Corporate IP Collaboration platforms such as Microsoft Teams, Salesforce’s Slack, Quip, Cisco’s Webex, Fuze and others have become very effective tools for engineering, software development, pharmaceutical, technology and other industries to manage teams that build and develop corporate Intellectual Property (“IP”).  Certainly, many of these platforms will retain these discussions but usually […]

17a-4, LLC, a leader in Collaboration capture software introduces its new website highlighting DataParser. 17a-4, LLC has a new website featuring DataParser and 17a-4 services. The new site adds new content and information for Compliance professionals to research and understand options for compliance and retention best practices. The site incorporates demos, white papers, press releases and regulatory links and is […]

17a-4 has released DataParser for Zoom into general availability.  The new module of DataParser for Zoom collects chat, meeting, webinar, file, audio and video data. Millbrook, NY – 17a-4, LLC, a leader in compliance software and services, has released a new module of DataParser to support Zoom.  DataParser is the leading independent compliance solution to […]

17a-4 announces the release of the most cost-effective, fully compliant archiving solution.  Azure DataParser is designed to bring many types of data into compliance with minimal cost.      Millbrook, NY – 17a-4, LLC, a leader in e-messaging compliance, has released a solution for Azure.    Managing electronic compliance records and SQL database back-ups is challenging as […]