SEC & FINRA Compliance Articles

17a-4 provides Designated Third Party services for hundreds of regulated firms.  Technical reviews have been expanded for CFTC, CPO and CTAs to continually improve and provide comprehensive compliance consulting services to all clients. Millbrook, NY – 17a-4 has expanded Designated Third Party technical reviews for CFTC, CPOs and CTAs.  Many broker/dealers and registered investment advisors […]

The DataParser is a middleware solution for compliance that collects, formats and delivers Jabber messaging to an archive for retention.  The DataParser supports the latest version of Cisco’s IM&P and Jabber.  7/26/16 – Millbrook, NY – 17a-4 has completed another round of testing with Cisco to confirm DataParser version 7.5.2 support for the latest release […]

17a-4 provides industry insights for corporate messaging and regulatory compliance. The following offers highlights from 17a-4’s white paper on the next generation of financial supervision and FINRA Rule 3120 compliance.      Millbrook, NY – 17a-4, llc has released a review of how financial institutions can begin to take the appropriate steps to prepare for the next […]

17a-4 has developed support for HipChat Server. The DataParser for HipChat Server is now available.  Millbrook, NY – 17a-4 has released a new module of the DataParser to support Atlassian HipChat Server.  The DataParser is middleware to handle regulated data for retention in an archive.  HipChat is a popular communication platform gaining ground with corporate […]

17a-4 provides industry insights for corporate messaging compliance. The following offers highlights from 17a-4’s white paper on Supervision and Information Barriers. Millbrook, NY – 17a-4 llc has released a review of FINRA’s guidance concerning Supervision and Information Barriers with regards to corporate messaging compliance. The following is a summary of 17a-4’s white paper. 17a-4 has an […]

17a-4 llc provides Designated 3rd Party services for hundreds of broker dealer clients.  In an effort to continually enhance the Designated 3rd Party annual review, the process now includes many different types of repositories that may fall under the purview of SEC Rule 17a-4.  Millbrook, NY – 17a-4’s Designated 3rd Party Review now includes over […]

The archiving third-party data feature in Office 365 is now generally available.  17a-4’s DataParser software brings the third-party data sources into Office 365 for compliance management. Millbrook, NY – 17a-4’s DataParser and Office 365’s new feature for archiving of third-party data is in general availability and can now be used to pull Bloomberg, Cisco Jabber, […]

17a-4 provides Designated Third Party services for hundreds of broker dealer clients.  Complementing the annual electronic records retention review, 17a-4 now examines the broker dealer’s e-Discovery search, review and production procedures.  Millbrook, NY – 17a-4 has improved its Designated Third Party (D3P) service offering to incorporate e-discovery best practices.  Annually, 17a-4 reviews with broker dealer […]

17a-4, llc provides Designated Third Party services to broker dealers.  This service is now available to clients using Office 365 for compliance. Millbrook, NY – 17a-4 now provides Designated Third Party services for broker dealers with Office 365.  Microsoft’s Office 365 has developed the required internal controls to comply with the technical requirements of SEC […]

17a-4 announces Office 365’s Preview feature to import and archive third-party data. 17a-4’s DataParser software brings the third-party data sources into Office 365 for compliance management. Millbrook, NY – 17a-4 and partner Office 365 announce the new Preview feature that allows for the import and archiving of third-party data.  The third-party data archiving ability extends […]