SEC & FINRA Compliance Articles

17a-4’s leading eDisclaimer service provides complete ‘chain-of-custody’ evidence for disclaimers on emails, meetings and messaging. A new complementary service, eProspectus, provides the same assurances with prospectuses, disclosures and offer documents. 17a-4, LLC offers a new service, eProspectus, complementing their eDisclaimer service for SEC compliance.  eProspectus extends 17a-4’s hyperlink disclaimer storage services to cover electronic prospectuses, […]

  17a-4, LLC offers expert guidance on managing email disclaimers.  Many financial institutions are using eDisclaimers or links to disclaimer language.  However, they typically revise the disclaimer text using the same link which breaks the ‘chain-of-custody’ evidence necessary in litigation. 17a-4’s eDisclaimer service provides a separate link for each disclaimer and embeds a hash-code which […]