Designated Third Party (D3P) Compliance Services

Over the past three years, 17a-4 LLC has worked extensively with Broker-dealers to provide 3rd Party Collateral Administration services in support of their Fully Paid Stock Lending (“FPL”) programs. We continue to strengthen our compliance services to Broker Dealer FPL Programs and partner custodian banks to ensure regulatory compliance with SEC Rule 15c3-3. On July […]

NSCP National Conference Dallas, Texas October 16th -18th The National Society of Compliance Professionals is a nonprofit membership organization dedicated to serving and supporting compliance professionals in the financial services industry. NSCP is “For Compliance, By Compliance.” NSCP membership provides the financial services professional with a wide range of resources including a vast network of […]