17a-4 llc Offers Readiness Review for New SEC FINRA regulations

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Recent changes to SEC and FINRA regulations will need to be addressed by regulated institutions. 17a-4 offers compliance services to review rule changes and adjust corporate policy and procedures for continued compliance.

17a-4 llc

e-messaging compliance and litigation expertise

17a-4 is offering a Readiness for Proposed FINRA 3110 Review service for clients that need to comply with recent pending regulations. 17a-4’s service includes recommendations for policy and procedure changes to accommodate the new rules.

On July 1, 2013, the Securities and Exchange Commission issued Release 34-69902. This release proposed changes to largely replace NASD 3010 with FINRA 3110 and NASD 3012 with FINRA 3120. The proposed changes update these regulations with several important changes to the policies and methodologies that financial firms use to monitor and flag content including customer complaints, financial transaction instructions and inter-departmental communications. Institutions are charged to implement policies and systems to achieve compliance with the applicable securities laws and regulations.

“17a-4, llc works with hundreds of financial institutions on retention policies, supervisory procedures and Letters of Undertaking annual reviews. Based on the breadth of our experience, we can recommend during our 3110 Review such changes as: lexicons, sampling methodologies and escalation procedures,” says Charles Weeden, Managing Partner 17a-4, llc.

Topics covered in the 3110 Review include:
How to determine and supervise ‘associated persons’
How to monitor departmental communications
How best to handle email complaints
How to implement ‘heightened’ supervisory policies

For more information on a Readiness for Proposed FINRA 3110 Review please contact 17a-4 llc at 212.949.1724 or email sales(at)17a-4(dot)com.

About 17a-4 llc:
17a-4 llc is an e-messaging compliance firm. 17a-4’s compliance software products are used extensively by institutions that have regulatory or internal policies requiring e-messaging retention. 17a-4’s 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 e-Dis.co division. 17a-4 and e-Dis.co are based in New York City but operate remote offices nationwide.

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