17a-4, llc

17a-4, llc/ DataParser provides compliance consulting services (SEC Rule 17a-4) to financial institutions. We also provide our DataParser software which is widely used to capture 3rd party content such as Bloomberg, Symphony, Reuters Eikon, Slack, Cisco Jabber, Quip and Zoom) and formats for archival retention.

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Designated 3rd Party Services (SEC Rule 17a-4(f)(3)(vii))
As required by SEC Rule 17a-4(f)(3)(vii)), we provide both Letters of Undertaking and Notification (Rule 17a-4(f)(2)(i).  We review the platforms which clients use to retain electronic compliance records including email, Sharepoint, IM, social media and financial records.  We have a deep expertise in the types of hardware and platforms...
DataParser captures 3rd party content for archival retention
DataParser is the leading middleware tool to capture content for regulatory compliance. It is a simple, cost-effective software tool that preserves the integrity and 'chain of custody' of the messages so that it may be used in either a regulatory production or in litigation. The DataParser supports: Bloomberg Blackberry ...
15a-6 Sharepoint Platform
Support for Rule 15a-6 and Chaperoned Research SEC Rule 15a-6 seeks to “to facilitate access to foreign markets by U.S. institutional investors through foreign broker-dealers and the research that they provide, consistent with maintaining the safeguards afforded by broker-dealer registration.”  The SEC DeskTop provides a very...
eDiscovery productions from collaborative platforms
Availability of the DataParser for Legal eDiscovery ‘fire drills’ Under the Federal Rules of Civil Procedure, Rule 26(a)(1)(A)(ii), corporations must disclose available electronically stored information that supports its claim or defense.  To prepare for litigation, legal teams now need to develop and document the necessary...