About 17a-4 llc

17a-4 is a compliance services and software company with a focus on e-messaging and software solutions to meet regulatory and e-Discovery needs of institutional clients. Clients that are required to adhere to SEC, FINRA and CFTC regulations leverage 17a-4’s expertise to ensure their information infrastructure is in compliance. 17a-4’s architecture provides for a single-point in which all e-messaging content may be managed for retention, legal and regulatory holds and e-Discovery productions.

The Company

Since 2001, 17a-4 has assisted institutions to effectively and efficiently manage and mitigate the regulatory risk associated with e-messaging platforms. Our unique strength is combining an extensive knowledge of legal and regulatory requirements, email archival solutions and financial industry ‘best-practices.’

Rule 17a-4 outlines the technical requirements for corporate data retention and adherence to such regulations is no longer the burden of just financial institutions. Today there are many regulated verticals such as pharmaceuticals, telecommunications, energy, manufacturing and healthcare that need to manage information to safeguard assets and fortify success.

17a-4’s approach bridges Compliance, Legal and Information Technology management to offer comprehensive solutions that best serve an institutions requirements in  cost-effective and efficient manner.

The People

Charles Weeden is the Managing Partner of 17a-4 llc and serves as the Executive Director of Compliance services and e-Discovery Consulting.  Charles was a consultant at the Securities & Exchange Commission before joining 17a-4 and has a long background in document management and electronic communication.  His previous company, Document Technologies, Inc., was instrumental in the preparation of documents in conjunction with the SEC’s EDGAR system.  Document Technologies’ software product, EDGAREase, was used extensively for the EDGAR filings.  Mr. Weeden has served as an expert witness on behalf of the Securities & Exchange Commission.  His professional experience as the head of QV Trading and as CIO of a brokerage firm contribute to 17a-4’s success.  Mr. Weeden is a graduate of the University of California, Berkeley and Fordham University Law School.

17a-4 offers a unique combination of expertise with a team comprised of Lawyers, Chief Information Officers, Chief Compliance Officers, Software Developers, Senior Systems Engineers and seasoned Project Managers.  Unlike most compliance consulting companies, 17a-4 has a firm focus on technology and decades of experience working with electronic records and how to retain, manage and dispose of these records.


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