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Location Office Head Office

15 Breeze Hill
Millbrook
NY

Telephone

212-949-1724

Contact

Charles Weeden
[email protected]

Mission Statement

17a-4, llc provides regulated clients with consulting services and software to assist in compliance with SEC Rule 17a-4, Rule 204-2 FINRA 3110 and other financial regulations. 17a-4, llc provides a number of products and services including Designated 3rd Party (Rule 17a-4(f)(3)(vii)), eDisclaimer and configuration of Microsoft’s O365 for non-erasable compliance (Preservation Lock).

Profile

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.

Benefits

17a-4, llc works with over 800 financial institutions and has deep expertise in the technology requirements for compliance, the regulations themselves and industry ‘best practices.’ We work with the regulators on exams and have provide expert witness support to the SEC on a number of occasions.

History

17a-4, llc started in 2001, soon after the SEC determined that email and other forms of messaging need to be retained in accordance with SEC Rule 17a-4. Realizing that there were not effective tools to capture 3rd party content such as Bloomberg and Symphony, we developed the DataParser software which is not a leading tool for the capture of many types of messaging and collaboration.

Focus

We are focused on financial and other regulated institutions which have a requirement to capture messaging content for either regulatory or eDiscovery purposes. We understand the metadata and other messaging properties to provide the necessary ‘chain of custoday’ and proof as to the integrity of the archived message. We have gone through many SEC, FINRA, FCA and other regulatory searches and productions and how to produce responsive records.

Goals

To keep our clients in line with industry compliance ‘best practices.’