Blog

SEC-FINRA DeskTop’s Complaint Module offers a low cost compliance solution for FINRA Rules 3110(b)(5) and 4530 and SEC Rule 206(4)-7

17a-4 now offers a Complaint module on its SEC-FINRA DeskTop solution.  This module provides a compliant solution to FINRA and SEC requirements for managing customer complaints. Millbrook, NY – 17a-4 expands the DeskTop offering with the Complaint Module.  Financial institutions are required to ‘identify, resolve and handle’ customer complaints.  These regulations include FINRA Rules 3110(b)(5) […]

17a-4 now offers DataParser support for Cisco’s Call Center Chats

The DataParser is leading middleware for messaging compliance.  This new interface will support the collection and formatting of Cisco’s Call Center Chats.   Millbrook, NY – 17a-4’s DataParser now supports the collection and formatting of Cisco’s Call Center Chats for compliance.  This new module of the DataParser will pull the call center agents chats from […]

17a-4 releases DataParser for InvestEdge

17a-4 is releasing the latest module of the DataParser software to support InvestEdge.  Clients can now use the DataParser to bring regulated data from InvestEdge’s client portal into compliance with governing SEC, FINRA and CFTC regulations.  17a-4 has now released DataParser for InvestEdge.  The DataParser is used by hundreds of regulated institutions of all sizes […]

17a-4’s DataParser improves support for Skype for Business Online features

17a-4 continues to enhance features for all DataParser platforms as data source partners make them available.  The latest development comes to Skype for Business Online with the ability to collect whiteboards, polls and Q&A data. Millbrook, NY – The Skype for Business Online DataParser now supports the collection of whiteboards, polls and Q&A data from […]

17a-4’s Comment on SEC Compliance for On-line Meetings

Communications with public and institutional clients are required to be retained (SEC Rule 17a-4, FINRA 2210), however, meeting tools such as Microsoft’s Skype for Business, Cisco’s WebEx and Citrix’s GoToMeeting have different and somewhat difficult capture methods.  The following describes 17a-4’s guidance as to ‘best practices’ to capture this content and archive in accordance with […]

17a-4’s industry insights on SEC Rule 17a-4 and archiving workflow review

17a-4 llc is a leading compliance firm managing SEC, FINRA and CFTC regulations for hundreds of financial institutions.  As such, provides guidance for rule interpretation and compliance, in this case, regarding workflow review. Millbrook, NY- SEC Rule 17a-4 and CFTC 1.31 outline the regulatory requirements for institutions, ‘exclusively using electronic storage media for some or […]

17a-4’s DataParser for Lync, now Skype for Business

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, […]

DataParser for Jabber now supports the latest Cisco version 10.6

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 now supports BlackBerry BES12

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’s DataParser for Cisco Jabber adds support for image archiving

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 […]