17a-4’s Microsoft Sharepoint® Compliance Module

The SEC requires financial institutions to retain corporate records to be in accordance with applicable regulations, primarily Rule 17a-4.

Though Microsoft’s SharePoint® supports many of these requirements, 17a-4 has developed the ShArc suite of software incorporating the necessary additional functionality to make SharePoint fully-SEC compliant.


ShArc Modules

ShArc Archive Capture and Management – Supports capture and archive management from the following content sources:

  • SharePoint® Wiki/ Blog/ List posts;
  • Microsoft LiveMeeting® content;
  • Email using Microsoft’s Exchange 2007® Hub Transport technology;
  • Bloomberg®, Reuters®, MessageLabs® and IM Trader® e-messaging;
  • Blackberry SMS messaging;
  • Instant messaging from Office Communication Server 2007 R2.

ShArc Audit Module – Tracks search access and retention of the archive and provides audit reports of archival access.

ShArc Non-Erasable (WORM) Module – Captures SharePoint® content and writes it out to non-erasable storage media in accordance with SEC Rule 17a-4(f)(2)(ii).

ShArc Legal / Regulatory Hold Module – Allows for the management of regulatory and litigation legal holds. Responsive content from a ShArc search may be copied into a Legal Hold Folder which will manage the collection separately from the institutional retention and disposition program.


ShArc incorporates a license of the 17a-4 DataParser for SharePoint.

Additional Information

17a-4 ShArc for SharePoint


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