17a-4’s Designated 3rd Party (“D3P”) Annual Review service now incorporates FINRA 3130 archive testing which is required as part of a broker / dealer’s annual review. The combination of annual documentation and testing provides financial institutions a comprehensive archive review for a cost-effective fee.
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Bloomberg has released notification that there was a delay regarding the posting of daily message files from last night’s daily file delivery, dated June 26, 2012. Bloomberg expects the files will be posted to their respective FTP sites by 11am EST. DataParser will pick-up the files, as usual, on tomorrows run. Another option is to run the job manually today, in which case, 17a-4’s suggestion would be around 1 PM. If you receive any notifications citing missing attachments, you may need to re-process the entire day again. It’s unknown if Bloomberg processed and posted some of the files or none of the files. Please contact us if you have any questions or concerns at 212-949-1724 or email email@example.com.