Est. 2001

Our unique strength is combining an extensive knowledge of legal and regulatory requirements, messaging platforms, archival solutions and industry best practices.

Charles Weeden | Managing Partner

Our History

17a-4 LLC was created to assist clients with SEC and FINRA compliance requirements. Having worked as consultants to SEC, our team has an in-depth understanding of the financial regulations and what businesses need to do to stay in compliance. We focus on Rule 17a-4 and the associated rules that govern Business Communications, Electronic Messaging and Books and Records.

Our Experience

We have worked closely with hundreds of financial institutions participating in regulatory discussions, annual compliance reviews and infrastructure examinations. As such, we have an extensive knowledge of messaging and collaboration platforms, archival technologies and which communications and records are regulated. We’ve been developing solutions to meet the compliance and e-discovery requirements of clients for over two decades and we continue to expand our offerings to ensure our clients can operate successfully while complying with rules and regulations.

Our Solutions

17a-4’s developed a suite of Services and Software to meet the needs of our clients. We provide an in-depth understanding of industry’s best practices for managing business communications, Records and Books, Retention, Supervision, eDiscovery and DLP. We help our clients leverage their technology and internal resources while navigating the rules to stay in compliance. We provide comprehensive plans and procedures for maintaining compliant environments.