SEC & FINRA Compliance Articles

Dodd Frank imposes new recordkeeping, reporting and disclosure requirements on all Investment Advisers, Broker Dealers, and newly deemed Major Swap Participants. In all cases, registered advisers will be required to maintain records relating to their business activities as mandated by Rule 17a-4 of the Securities Exchange Act (Broker Dealers) and Rule 204-2 of the Investment […]

17a-4’s Designated 3rd Party (“D3P”) Annual Review service now incorporates FINRA 3130 archive testing which is required as part of a broker / dealer’s annual review.  The combination of annual documentation and testing provides financial institutions a comprehensive archive review for a cost-effective fee. Follow this link to the complete Press Release… http://www.prweb.com/releases/2012/6/prweb9650150.htm  

Bloomberg has released notification that there was a delay regarding the posting of daily message files from last night’s daily file delivery, dated June 26, 2012.  Bloomberg expects the files will be posted to their respective FTP sites by 11am EST.  DataParser will pick-up the files, as usual, on tomorrows run.  Another option is to […]

17a-4’s DataParser Release 6.x fully supports the upcoming changes to Bloomberg’s compliance feed for Message and Instant Bloomberg Chats.  Follow this link to the complete Press Release… http://www.prweb.com/releases/2012/6/prweb9640769.htm  

As of June 18th, 2012 Bloomberg will be enhancing the Account level daily compliance feed for Message and IBs.  The new data fields include Firm Number, Account Number and UUID for users of the account that the feed is set-up for.  All other users will see no changes to the feed.  In addition, this will […]

17a-4 is offering e-Disclaimer™, a hyperlinked email disclaimer product, at no additional charge to firms engaged for compliance services. Many of the current hyperlinked disclaimers used in corporate e-messaging cannot provide the required authentication and are not legally enforceable. e-Disclaimer™ addresses these issues with a verifiable link making 17a-4’s solution fully compliant and defensible. Follow […]

17a-4 has developed the leading compliant solution for Microsoft Lync with GroupChat. As more companies utilize this interactive communication platform, legal and compliance issues will need to be addressed. The solution for Lync, and many other interfaces, is 17a-4’s DataParser™. Follow this link to the complete press release… http://www.prweb.com/releases/2012/4/prweb9433919.htm  

17a-4’s eDis.co division has released a cost effective solution for institutions to bring eDiscovery in-house. Kazeon software and eDis.co resources ease the dependence on out-sourced litigation service providers.   Follow this link to the complete press release… http://www.prweb.com/releases/2012/5/prweb9458816.htm