SEC & FINRA Compliance Articles

Microsoft’s Advanced eDiscovery is a powerful tool for collections and legal productions, but organizations need to be prepared in the event the evidence’s ‘chain of custody’ is challenged.

The next version of 17a-4’s Teams DataParser will support Microsoft’s Graph API for data collection.  The new version of Teams DataParser will be available in Q4.  Millbrook, NY – 17a-4’s DataParser for Microsoft Teams is now being developed to support Microsoft’s Graph API.  DataParser is a leading compliance solution to collect regulated data types for […]

To respond to the COVID-19 pandemic, 17a-4 has multiple services available for clients. Twitter Flows can help clients monitor Tweets and DataParser can be used to collect internal and external chats related to COVID-19 communications. Millbrook, NY –17a-4, LLC is sharing a free Twitter capture service to clients that need monitor COVID-19 communications.  Using Microsoft’s […]

DataParser roadmap has been updated with new interfaces.  SharePoint Online support will be followed by WebEx Teams and OneDrive releases. Millbrook, NY – 17a-4 has added new sources to the DataParser roadmap for 2020 Beta and GA releases.  DataParser is a leading compliance solution to collect third party data for retention in a compliance archive.  […]

17a-4 is now offering state and local government clients free Twitter capture for compliance.   Leveraging Microsoft’s Power Automate, clients can collect Tweets into a SharePoint Online library or via email for retention and eDiscovery.  January 14, 2019.  Millbrook, NY – 17a-4, LLC is sharing a free Twitter capture service to state and local government clients […]

17a-4 has created a simplified bundle of services and software for financial institutions.  The suite combines 17a-4’s D3P services with 17a-4 software to provide a comprehensive solution for broker/dealer compliance. Millbrook, NY – 17a-4, LLC is combining a set of services and software into a suite for smaller financial institutions to easily and cost-effectively address […]

17a-4 has released SharePoint Online DataParser in Beta. The new module supports collection of SharePoint data from Office 365. Millbrook, NY – 17a-4, LLC, a software and services company enabling regulated clients to comply with SEC and FINRA requirements, has released a new DataParser module for SharePoint Online. DataParser is a leading compliance solution to […]

Financial institutions have supervisory and archiving regulatory requirements for software that performs automated investment strategies or interacts with markets or clients.  17a-4 LLC has a suite of services and products to bring software assets into compliance and mitigate IP risk. Millbrook, NY – 17a-4, LLC announces software defined escrow services to meet clients’ Regulatory and […]

17a-4 is rolling out new versions of multiple DataParser modules. Each supported interface has new features and improved performance metrics. Millbrook, NY – 17a-4 is releasing new versions of DataParser modules including Bloomberg, Symphony, Slack, Blackberry, Jabber and more. DataParser is a leading compliance solution to collect third party data for retention in an archive. 17a-4 is […]

Announcing the General Availability of the Quip DataParser.  The new module supports collection of Salesforce Quip documents and chat data. Millbrook, NY – 17a-4’s DataParser now supports Salesforce Quip.  DataParser is a leading compliance solution to collect third party data for retention in a compliance archive.  Quip is Salesforce’s cloud-based content collaboration platform that combines […]