SEC & FINRA Compliance Articles

DataParser uses Zoom’s archive API to support collection of externally hosted meetings.  The chats can be delivered to any compliance archive using DataParser. 17a-4’s DataParser for Zoom supports new externally hosted meeting data collection.  DataParser is the leading independent connector solution for bringing data into archives.  Zoom is an all-in-one intelligent collaboration platform that makes […]

What’s Happening Text messaging data is the latest challenge for compliance teams.  Financial firms are tasked with bringing this new data stream in line with existing email, chat, document, and social media policies and procedures according to SEC, FINRA, CFTC, etc. rules.  Mobile communications in the Government and Education sectors are governed by NARA, FERPA […]

While ChatGPT-3 and Generative AI is certainly the talk of Wall Street lately, even causing some firms to prohibit employee use < https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/https://www.retailbankerinternational.com/news/jp-morgan-staff-chatgpt-restriction/ >, the use of machine learning technologies and algorithmic models by banks and trading firms for business activities is well established. The use of AI-based applications ranges from investment recommendations for clients, […]

Should we archive our meeting and webinar videos?    Do we have to turn off file sharing in our chat platform?    What do we do about all these large files our users are sharing?  These are common questions we hear from clients.  Organizations want to allow their users to enable all the features of […]

To support clients that manage multiple locations for data compliance, 17a-4 offers Hybrid Suite.  This bundles products and services typically purchased by larger, regulated organizations. 17a-4, LLC, offers a suite of services and products for complex archiving and eDiscovery environments called Hybrid Suite.  Large institutions now require a complex architecture of compliance archives, eDiscovery platforms, […]

17a-4 has developed DataParser to deliver third party data to Google Vault for Retention and eDiscovery.  DataParser can send any supported data source into Google Vault. 17a-4’s DataParser, the leading independent connector solution to collect and format third party data for archive retention and eDiscovery now supports delivery to Google Vault.  Google Vault is an […]

New records mandate issued by the National Archives and Records Administration expands retention requirement to include “email and other electronic messages” and details rules for automating. Electronic messaging, including chat application communications and texting, have become a primary form of communication in the modern government workplace, and this is especially true for U.S. federal agencies. […]

17a-4 has developed DataParser to support Truphone, one of the world’s leading innovators in eSIM, cloud and digital solutions.  The new module for Truphone text data is now generally available.  17a-4’s DataParser, the leading independent connector solution to collect and format third party data for archiving and eDiscovery, has developed the Truphone connector to capture […]

Regulated institutions are under pressure to capture and monitor text messaging.  Rather than react by incurring the cost of new technologies, firms should first analyze their specific requirements, review existing communication channels, and institute annual text messaging use policies and employee attestations. Due to recent SEC fines, text messaging compliance has become a topical and […]

The Securities and Exchange Commission has voted to adopt amendments to the electronic recordkeeping, prompt production of records, and third-party recordkeeping service requirements applicable to broker-dealers.  These amendments make significant changes to SEC Rule 17a-4 and address regulations which apply to write-once, read-many (“WORM”) and the requirement for a Designated 3rd Party (“D3P”) (Rule 17a-4(f)(3)(vii)). […]