SEC & FINRA Compliance Articles

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 […]

17a-4 has added new features to the Rule 15a-6 module of the SEC DeskTop to expedite foreign research review, approval and redistribution.  The DeskTop is a compliant platform to manage regulated broker dealer records. Millbrook, NY- 17a-4 continues to expand the features of the SEC DeskTop for broker dealer compliance. Under SEC Rule 15a-6, foreign […]

17a-4 is having their annual e-Disclaimer sale.  e-Disclaimer is a compliant hyperlinked email disclaimer service currently offered at half off or included free with any purchase of 17a-4’s DataParser software until the end of the year. 17a-4 is having their annual sale on e-Disclaimer.  e-Disclaimer is a hyperlinked email disclaimer service that is fully compliant […]

The DataParser now has extensive auto update features that will allow clients to receive all the major and minor versions of modules as they are released.  The expanded auto update feature is one of many new enhancements to the core product that are being rolled out throughout 2015.   Millbrook, NY – 17a-4 continues to […]

17a-4 now offers a Complaint module on its SEC-FINRA DeskTop solution.  This module provides a compliant solution to FINRA and SEC requirements for managing customer complaints. Millbrook, NY – 17a-4 expands the DeskTop offering with the Complaint Module.  Financial institutions are required to ‘identify, resolve and handle’ customer complaints.  These regulations include FINRA Rules 3110(b)(5) […]

The DataParser is leading middleware for messaging compliance.  This new interface will support the collection and formatting of Cisco’s Call Center Chats.   Millbrook, NY – 17a-4’s DataParser now supports the collection and formatting of Cisco’s Call Center Chats for compliance.  This new module of the DataParser will pull the call center agents chats from […]

17a-4 is releasing the latest module of the DataParser software to support InvestEdge.  Clients can now use the DataParser to bring regulated data from InvestEdge’s client portal into compliance with governing SEC, FINRA and CFTC regulations.  17a-4 has now released DataParser for InvestEdge.  The DataParser is used by hundreds of regulated institutions of all sizes […]

17a-4 continues to enhance features for all DataParser platforms as data source partners make them available.  The latest development comes to Skype for Business Online with the ability to collect whiteboards, polls and Q&A data. Millbrook, NY – The Skype for Business Online DataParser now supports the collection of whiteboards, polls and Q&A data from […]

Communications with public and institutional clients are required to be retained (SEC Rule 17a-4, FINRA 2210), however, meeting tools such as Microsoft’s Skype for Business, Cisco’s WebEx and Citrix’s GoToMeeting have different and somewhat difficult capture methods.  The following describes 17a-4’s guidance as to ‘best practices’ to capture this content and archive in accordance with […]

17a-4 llc is a leading compliance firm managing SEC, FINRA and CFTC regulations for hundreds of financial institutions.  As such, provides guidance for rule interpretation and compliance, in this case, regarding workflow review. Millbrook, NY- SEC Rule 17a-4 and CFTC 1.31 outline the regulatory requirements for institutions, ‘exclusively using electronic storage media for some or […]