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How to Prove that FINRA Registered Employees are NOT using Zoom Chat

Many of our financial clients have set up Supervisory Policies that allow FINRA registered employees to use Zoom for video but not to use Zoom’s chat feature.  This addresses the concern that written communication is required to be retained in accordance with SEC Rule 17a-4. However, the question is how can a financial institution ‘prove’ […]

17a-4 Announces New Website Showcasing DataParser

17a-4, LLC, a leader in Collaboration capture software introduces its new website highlighting DataParser. 17a-4, LLC has a new website featuring DataParser and 17a-4 services. The new site adds new content and information for Compliance professionals to research and understand options for compliance and retention best practices. The site incorporates demos, white papers, press releases and regulatory links and is […]