Law Department Desktop and 17a-4 LLC Provide Hosted SEC Compliance for Office Documents

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17a-4 and Law Department Desktop have teamed up to provide 17a-4 DeskTop™, a facility for financial institutions to retain documents conforming to SEC Rule 17a-4 and other retention regulations. The facility is hosted in the cloud in a SAS 70 Type II datacenter on Microsoft SharePoint™ servers.

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e-messaging compliance and litigation expertise easy to use facility to retain office documents as required by SEC Rule...

17a-4 llc, a compliance services and software firm, and Law Department Desktop have partnered to provide financial and other institutions an easy to use facility to retain office documents as required by SEC Rule 17a-4 and other financial regulations. Either by emailing or using Outlook folders, a compliance officer, a lawyer, an investment banker or other user responsible for managing SEC-regulated electronic documents may simply upload a document to a document archive. “Many other facilities exist in the cloud,” says Charles Weeden, Managing Partner of 17a-4, “but none offer the necessary features to be compliant with SEC regulations."

The 17a-4 DeskTop™ is incorporated into Law Department Desktop’s current SharePoint facility. DeskTop is currently used by law firms and corporate law departments to integrate legal workflows to make legal processes more efficient and cost-effective. DeskTop currently has an 'Insurance DeskTop' module which was developed by a leading insurance law firm. This allows clients to have their own extranet to manage insurance documents and claims with the assistance and analysis of the law firm and other advisers. “Leveraging our current facility to provide SEC-compliance is a natural extension to our DeskTop modules,” says O. Forrest Morgan, President of the Law Department Desktop. “Further,” Forrest adds, “many of the documents used by financial institutions will benefit from having the sophisticated workflow and collaborative features that SharePoint provides.”

Regulated documents such as mutual fund advertisements, broker records and FINRA filings all may be uploaded by simply emailing the document as an attachment to an address such as: 17a-4, llc will provide the necessary Designated 3rd Party letters as required by SEC Rule 17a-4(f)(3)(vii) and support for additional regulatory requirements. For more information contact 17a-4 at 212-949-1724 or email us at

About 17a-4 llc
17a-4 llc is an e-messaging compliance firm with a focus on compliance software development. Their software products are used extensively by institutions that have regulatory or internal policies requiring e-messaging retention. 17a-4 architecture provides for a single-point in which all e-messaging content may be managed for retention, legal and regulatory holds and e-Discovery productions. E-discovery services are handled by 17a-4’s division. 17a-4 and are based in New York City but operate remote offices nationwide. For more information on the DataParser or other 17a-4 software please contact , call (212) 949-1724 or visit

About Law Department Desktop
Law Department Desktop provides a hosted, SharePoint facility that streamlines the workflow processes between law firms and their corporate clients. DeskTop consists of legal modules which either have been developed in-house or by law firms with an expertise in a particular area of the law. Clients of DeskTop may pick and choose the modules they wish to use and integrate workflows to seamlessly manage legal work product. The DeskTop facility allows authorized parties to view and collaborate on documents to increase efficiency across workflows. For more information on DeskTop, please email O. Forrest Morgan at or call (646) 559-8979.

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Kate Hayes
17a-4 llc
+1 (212) 949-1724
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Charles Weeden
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