SEC & FINRA Compliance Articles

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 […]

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 […]