SEC & FINRA Compliance Articles

17a-4’s DataParser is now being developed to support Thompson Reuters messaging product, Eikon Messenger.  The DataParser for Reuters will capture the Eikon Messenger data and format the content for archival ingestion.  Millbrook, NY – 17a-4 is now developing their DataParser® software to support Thompson Reuters Eikon Messenger® product.  Thomson Reuters Eikon Messenger connects financial professionals […]

e-Disclaimer, the market-leading service for disclaimer management announces a reduction in pricing with 50% discounts for multi-year agreements.  17a-4 llc is discounting rates for their e-Disclaimer™ solution, the leading hyperlinked disclaimer service that’s fully compliant with a broad range of regulatory requirements and legally defensible in court.  Up to 50% discounts are being offered for […]

The DataParser software v7.1 now fully supports SharePoint 2013 and SQL 2012. This latest release of the DataParser allows financial and other regulated institutions to use these platforms to manage records and still comply with SEC retention regulations.    17a-4’s latest version of the DataParser supports SharePoint 2013 and SQL 2012.  The DataParser software captures and formats data […]

17a-4’s DataParser for Blackberry now supports Blackberry Enterprise Server (BES) 10.  BES10 version includes changes to logging and formatting.   December, 18 2013 – Millbrook, NY- 17a-4’s DataParser now supports Blackberry Enterprise Server (BES) 10.  The DataParser software captures e-messaging, data streams and database content for archival ingestion.  The latest build of the DataParser for […]

The DataParser software is now available from 17a-4 in Beta Version 7.1 for select modules.  Clients can now test the DataParser v7.1.   November 20, 2013 Millbrook, NY — 17a-4 llc has released the latest version of their DataParser software for compliance archiving and e-Discovery.   The DataParser captures e-messaging, data streams and database content and […]

Regulatory oversight, litigation risk and intellectual capital compel responsible businesses to archive data. An archive, when fully leveraged, can be a key tool to more effectively manage corporate knowledge and mitigate risk. Manage all your information in one location. Corporations use many different types of e-messaging (email, IM, wikis, blog posts, collaboration platforms) to conduct […]

17a-4’s DataParser™ is the leading e-messaging capture software supporting virtually all third party platforms (Microsoft Lync®, Bloomberg® BlackBerry® etc.). 17a-4 has now developed the DataParser™ for Squawker™, to capture regulated trading content for archive. Retention of this data is required by SEC’s Rule 17a-4 and other applicable regulations.   October 22, 2013 Millbrook, NY — […]

17a-4 has extended the capabilities of the DataParser software to capture the hosted version of Microsoft Lync™ available through Office 365™. The DataParser captures various forms of messaging and data stream content for ingestion and retention in an institutional email archive. September 30, 2013 Millbrook, NY – 17a-4’s DataParser compliance software can now capture the […]

Recent changes to SEC and FINRA regulations will need to be addressed by regulated institutions. 17a-4 offers compliance services to review rule changes and adjust corporate policy and procedures for continued compliance. Sept.19,2013 – 17a-4 is offering a Readiness for Proposed FINRA 3110 Review service for clients that need to comply with recent pending regulations. 17a-4’s service includes recommendations […]

17a-4 and Law Department Desktop have teamed up to provide 17a-4 DeskTop™, a facility for financial institutions to retain documents conforming to SEC Rule 17a-4 and other retention regulations.  The facility is hosted in the cloud in a SAS 70 Type II datacenter on Microsoft SharePoint™ servers. August 14, 2013 – Millbrook, NY – 17a-4 […]