17a-4 llc is a compliance software and services company focusing on e-messaging and archive technologies that meet the regulatory and e-discovery requirements of institutional clients. Clients that are required to adhere to SEC, FINRA, CFTC and other rules and regulations leverage our expertise to ensure their information infrastructure is in compliance.
Since 2001, 17a-4 has assisted institutions with regulatory policy and procedures associated with e-messaging platforms. Our unique strength is combining an extensive knowledge of legal and regulatory requirements, archival solutions and financial industry best practices. Over 500 institutions use our DataParser software and Designated Third Party Services for corporate compliance.
17a-4’s teams are comprised of Lawyers, Chief Information Officers, Chief Compliance Officers, Software Developers, Senior Systems Engineers and Project Managers with decades of experience working with electronic records retention, management and disposal. Unlike most compliance consulting companies 17a-4 has a firm focus on technology.
Our goal is to assist with compliance policies and procedures that minimize risk and leverage e-messaging assets and technologies.