SEC & FINRA Compliance Articles

17a-4 has created a simplified bundle of services and software for financial institutions.  The suite combines 17a-4’s D3P services with 17a-4 software to provide a comprehensive solution for broker/dealer compliance. Millbrook, NY – 17a-4, LLC is combining a set of services and software into a suite for smaller financial institutions to easily and cost-effectively address […]

17a-4 has released SharePoint Online DataParser in Beta. The new module supports collection of SharePoint data from Office 365. Millbrook, NY – 17a-4, LLC, a software and services company enabling regulated clients to comply with SEC and FINRA requirements, has released a new DataParser module for SharePoint Online. DataParser is a leading compliance solution to […]

Financial institutions have supervisory and archiving regulatory requirements for software that performs automated investment strategies or interacts with markets or clients.  17a-4 LLC has a suite of services and products to bring software assets into compliance and mitigate IP risk. Millbrook, NY – 17a-4, LLC announces software defined escrow services to meet clients’ Regulatory and […]

17a-4 is rolling out new versions of multiple DataParser modules. Each supported interface has new features and improved performance metrics. Millbrook, NY – 17a-4 is releasing new versions of DataParser modules including Bloomberg, Symphony, Slack, Blackberry, Jabber and more. DataParser is a leading compliance solution to collect third party data for retention in an archive. 17a-4 is […]

Announcing the General Availability of the Quip DataParser.  The new module supports collection of Salesforce Quip documents and chat data. Millbrook, NY – 17a-4’s DataParser now supports Salesforce Quip.  DataParser is a leading compliance solution to collect third party data for retention in a compliance archive.  Quip is Salesforce’s cloud-based content collaboration platform that combines […]

17a-4 LLC joins Microsoft at LegalTech this week as they announce new features in Office 365’s Security & Compliance Center.  Supervision, Lexicons, Labels and Reporting are important additions to the Office 365 compliance suite. Millbrook, NY – Microsoft will be introducing some of the new features in Office 365’s Security & Compliance Center at LegalTech […]

By Douglas Weeden, Esq., 17a-4 LLC DECEMBER 2018 The production of electronically stored information such as instant messaging and other forms of real-time communication, is now routine for enterprises verifying regulatory compliance or responding to civil litigation. While corporate legal and compliance departments dutifully recognize this shared responsibility, they rarely are aligned when it comes […]

17a-4 developed a module of the DataParser to audit and lock Office 365 retention policies.  The DataParser for Office 365 policies is now included in 17a-4’s D3P service to help clients maintain compliant environments.       Millbrook, NY – 17a-4, LLC has improved Designated Third Party services for Office 365 clients using DataParser’s new module to […]

17a-4 continues to enhance DataParser features for all supported interfaces.  The new version of the DataParser is now in beta testing.     Millbrook, NY – 17a-4, LLC’s DataParser is a leading compliance solution to collect regulated data for retention in an archive.  A new version of the DataParser is now in beta and undergoing extensive […]

17a-4 continues to develop DataParser interfaces and features.  The new Office 365 retention policy and lock audit module will help clients maintain compliant environments.     Millbrook, NY – 17a-4, LLC’s DataParser now has a module to verify Microsoft compliance policies.  D3P (Designated Third Party) and DataParser clients can use it to confirm their Office 365 […]