SEC & FINRA Compliance Articles

Many of our financial clients have set up Supervisory Policies that allow FINRA registered employees to use Zoom for video but not to use Zoom’s chat feature.  This addresses the concern that written communication is required to be retained in accordance with SEC Rule 17a-4. However, the question is how can a financial institution ‘prove’ […]

The Challenge of Corporate IP Collaboration platforms such as Microsoft Teams, Salesforce’s Slack, Quip, Cisco’s Webex, Fuze and others have become very effective tools for engineering, software development, pharmaceutical, technology and other industries to manage teams that build and develop corporate Intellectual Property (“IP”).  Certainly, many of these platforms will retain these discussions but usually […]

17a-4, LLC, a leader in Collaboration capture software introduces its new website highlighting DataParser. 17a-4, LLC has a new website featuring DataParser and 17a-4 services. The new site adds new content and information for Compliance professionals to research and understand options for compliance and retention best practices. The site incorporates demos, white papers, press releases and regulatory links and is […]

17a-4 has released DataParser for Zoom into general availability.  The new module of DataParser for Zoom collects chat, meeting, webinar, file, audio and video data. Millbrook, NY – 17a-4, LLC, a leader in compliance software and services, has released a new module of DataParser to support Zoom.  DataParser is the leading independent compliance solution to […]

17a-4 announces the release of the most cost-effective, fully compliant archiving solution.  Azure DataParser is designed to bring many types of data into compliance with minimal cost.      Millbrook, NY – 17a-4, LLC, a leader in e-messaging compliance, has released a solution for Azure.    Managing electronic compliance records and SQL database back-ups is challenging as […]

eDisclaimer is on sale now through February 2022.  50% off a fully compliant hyperlinked email disclaimer service. 17a-4’s eDisclaimer is a hyperlinked email disclaimer service.  The sale running November through February of 2022 discounts all eDisclaimer fees by 50%.  eDisclaimer provides the legal protection required for corporate emails, removes the burden to archival storage and […]

DataParser now supports Microsoft Teams collection via Graph Export API.  The new version of Teams DataParser is now generally available. Millbrook, NY – 17a-4 LLC’s DataParser for Teams using Microsoft’s Graph API is now available.  DataParser is the leading independent compliance solution to bring third party data into any archive for retention.  Microsoft Teams is […]

DataParser now offers an Email Relay module.  The new interface allows users to relay data from a mailbox into an archive for compliance and eDiscovery. Millbrook, NY – 17a-4, LLC is releasing an Email Relay module of DataParser.  DataParser is the leading independent compliance solution to bring third party data into any archive for retention.  […]

DataParser has added support for Zoom. The new module of DataParser for Zoom is in beta and available for testing. Millbrook, NY – 17a-4, LLC has released Zoom DataParser in beta for client testing and feedback.  DataParser is the leading independent compliance solution to bring third-party data into any archive.  Zoom is simplified video conferencing […]

DataParser now supports Fuze. DataParser for Fuze allows clients to bring their chats and shared files into any compliance archive.