SEC & FINRA Compliance Articles

In most institutions, there is more content in fileshares than there is email.  Though most of us find this statement hard to believe, survey after survey confirms it and finds that even regulated departments like compliance and legal use fileshares as their main repository for content. Millbrook, NY – Financial institutions, largely due to regulatory […]

Many financial institutions retain regulatory records on Microsoft’s Office365 SharePoint.  The SEC Compliance DeskTop (“DeskTop”) now can capture O365 SharePoint content and retain in full-compliance with SEC Rules SEA 17a-4, IAA 204-2 and CFTC 1.31. Financial institutions find that Microsoft’s Office365 Sharepoint is an easy and cost-effective way to retain records.  However, this cloud-based Sharepoint […]

The DataParser is leading compliance software to capture IM, chats and other database content into an archive.  FactSet Instant Messenger, an open collaboration platform designed to enhance the workflow needs of global financial professionals, is now supported.   17a-4’s DataParser software for messaging compliance now supports FactSet Instant Messenger (IM).  17a-4’s software allows institutions to […]

Under SEC Rule 15a-6, foreign broker-dealers are allowed to distribute research reports to U.S. institutional investors providing their work through a “chaperoning broker-dealer.”  The SEC Compliance DeskTop now provides a simple and cost-effective platform for managing research report approvals and distribution as well as complying with the retention requirements of SEC Rule 17a-4. By adopting […]

10 Steps for Email Disposition, from 17a-4, offers a “how to” checklist for managing corporate email and e-messaging records.  This guidebook is a must read for any institution without a retention policy. Millbrook, NY- 17a-4 llc has provided support to many institutions to develop and implement email retention and disposition programs and has formalized the […]

The DataParser is leading middle-ware to capture messaging and database content into an archive.  Pivot’s IMTRADER, an automated trade entry and execution platform, is now supported. 17a-4’s DataParser software for messaging compliance now supports Pivot’s IMTRADER.  Pivot Inc., a CME Group company, is recognized as the preferred communications network for buy and sell-side market participants seeking an unprecedented […]

17a-4’s ER Review provides a standard compliance review of all of the electronic repositories used by a financial institution to retain regulatory records and provides a comprehensive report whether it is in compliance with applicable regulatory requirements and financial industry ‘best practices.’ Millbrook, NY-17a-4’s Electronic Repository (“ER”) Review builds on the many consulting engagements in […]

Expanding on the interfaces supported by the DataParser, 17a-4 is developing their DataParser software to include support for Microsoft’s SharePoint Online. The DataParser for SharePoint Online will format data for capture by all of the major archive solutions.   Millbrook, NY- 17a-4’s DataParser, the leading software tool to capture Lync Online, will support the capture […]

17a-4 has released the latest version of the DataParser software to support Thomson Reuters Eikon Messenger product.  The latest version of DataParser for Reuters Eikon is now available for testing. Millbrook, NY – 17a-4 has released the latest version of their DataParser for Reuters Eikon software to support Thomson Reuters Eikon Messenger product.  Messenger connects […]

DataParser for SQL ensures corporations are retaining all the content that falls under current requirements. Regulations lay the guidelines for data retention policies to include management systems, trading systems and other real-time databases.  February 12, 2014 Millbrook, NY – A major New England financial firm has installed 17a-4’s DataParser for SQL software for compliance.  The […]