About 17a-4 llc
17a-4 LLC: Your Trusted Partner for SEC and FINRA Compliance
If you are a US broker-dealer, you know how important it is to comply with the regulations set by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Failure to comply can result in hefty fines, legal action, and damage to your reputation. That's where 17a-4 LLC comes in - we are here to assist you with all your compliance needs.
Who We Are
17a-4 LLC is a leading provider of regulatory compliance solutions for broker-dealers. Our team of experts has over 20 years of experience in the industry, and we have helped hundreds of firms navigate the complex world of SEC and FINRA regulations.
What We Do
At 17a-4 LLC, we offer a range of services designed to help broker-dealers meet their compliance obligations. Our flagship product is DataParser Archive Connectors - a powerful tool that allows firms to capture, archive, and retrieve electronic communications data in accordance with SEC Rule 17a-4.
We also offer Designated Third Party (D3P) services - an essential requirement for firms that use cloud-based storage solutions. As a D3P provider, we ensure that your data is stored securely and meets all regulatory requirements.
In addition to these core offerings, we provide consulting services on various aspects of SEC/FINRA compliance such as cybersecurity risk assessments, social media policies & procedures development/review/audit/compliance testing/reporting/monitoring/surveillance/archiving/retrieval/analysis/training/guidance/documentation; email retention policies & procedures development/review/audit/compliance testing/reporting/monitoring/surveillance/archiving/retrieval/analysis/training/guidance/documentation; disaster recovery/business continuity planning/testing/reporting; branch office inspections/testing/reporting; AML/KYC/CIP/SARs reporting/testing/training/guidance/documentation; trade surveillance/testing/reporting/alerts/investigations/documentations/policies/procedures/training/guidance/documentation etc.
Why Choose Us?
There are several reasons why broker-dealers choose 17a-4 LLC as their trusted partner for regulatory compliance:
1. Expertise: Our team has extensive knowledge of SEC/FINRA regulations and can provide tailored solutions based on your specific needs.
2. Technology: We use cutting-edge technology such as DataParser Archive Connectors which ensures that our clients' data is captured accurately.
3. Flexibility: We understand that every firm has unique requirements when it comes to compliance - which is why we offer customized solutions.
4. Cost-effective: Our services are competitively priced so that even small firms can afford them without breaking their budget.
5. Reputation: With over two decades in business serving hundreds upon hundreds upon hundreds upon thousands upon thousands upon thousands upon tens-of-thousands+ clients across multiple industries including financial institutions/broker dealers/investment advisers/hedge funds/private equity funds/family offices/corporate entities/law firms/accountants/regulators/etc., our reputation speaks for itself!
Conclusion
In conclusion, if you're looking for a reliable partner who can help you navigate the complex world of SEC/FINRA regulations while keeping costs low without sacrificing quality or expertise then look no further than 17a-4 LLC! Contact us today at info@17A.com or visit our website www.DataParser.com / www.D3P.com / www.SocialMediaCompliance.net / www.EmailRetentionCompliance.net / www.TradeSurveillanceCompliance.net / etc.!
17a-4.com
