SEC & FINRA Compliance Articles

NSCP National Conference Dallas, Texas October 16th -18th The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of […]

Between feature requests from clients and new features being rolled out in supported data sources, we are continuously improving DataParser!    As always, we are client driven in our approach.  Clients can submit feature requests for formatting, processing and operational changes to DataParser at any time.  As long as technically possible, we will include each […]

Deploying chat, text and collaboration platforms for government agencies brings a host of challenges but the most crucial component is security.  Federal, State and Local governments have a responsibility to ensure communications and documents are managed securely; impervious to both outside attacks and disreputable internal acts. All public sector agencies have some form of regulation […]

As a longtime Cisco partner, we are happy to announce DataParser is now on the Webex App Hub.    Cisco’s Webex App Hub is a showroom for partner solutions.  Apps, integrations, skills, and bots for Webex products are all available in one marketplace. As an integration partner, DataParser supports both Webex Messaging and Meeting data […]

DataParser has been developed to leverage Microsoft Graph for Azure Active Directory services.  Clients using AD for user filtering can enable security and user management with the new Graph integration.           17a-4 has developed DataParser to work with Microsoft Graph and Azure Active Directory (Azure AD).  Azure AD services centralize identity and access management […]

DataParser uses Zoom’s archive API to support collection of externally hosted meetings.  The chats can be delivered to any compliance archive using DataParser. 17a-4’s DataParser for Zoom supports new externally hosted meeting data collection.  DataParser is the leading independent connector solution for bringing data into archives.  Zoom is an all-in-one intelligent collaboration platform that makes […]

What’s Happening Text messaging data is the latest challenge for compliance teams.  Financial firms are tasked with bringing this new data stream in line with existing email, chat, document, and social media policies and procedures according to SEC, FINRA, CFTC, etc. rules.  Mobile communications in the Government and Education sectors are governed by NARA, FERPA […]

While ChatGPT-3 and Generative AI is certainly the talk of Wall Street lately, even causing some firms to prohibit employee use < https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/ >, the use of machine learning technologies and algorithmic models by banks and trading firms for business activities is well established. The use of AI-based applications ranges from investment recommendations for clients, […]

Should we archive our meeting and webinar videos?    Do we have to turn off file sharing in our chat platform?    What do we do about all these large files our users are sharing?  These are common questions we hear from clients.  Organizations want to allow their users to enable all the features of […]

To support clients that manage multiple locations for data compliance, 17a-4 offers Hybrid Suite.  This bundles products and services typically purchased by larger, regulated organizations. 17a-4, LLC, offers a suite of services and products for complex archiving and eDiscovery environments called Hybrid Suite.  Large institutions now require a complex architecture of compliance archives, eDiscovery platforms, […]