17a-4 Annual Disclaimer Sale Now Running Through February 2022


,,, Most email disclaimers will be rejected as inadmissible in litigation or regulatory matter.

17a-4 Disclaimer is a hyperlinked email disclaimer service. The November-February 2022 sale reduces all electronic disclaimer fees by 50%. eDisclaimer provides the legal protection required for corporate email, removes the burden of archival storage, and dramatically reduces content that is erroneously flagged during eDiscovery.

Most businesses have some version of an email warning to protect their rights and responsibilities. Unfortunately, these disclaimers can prove onerous for compliance and IT when time is running out to respond to a regulatory request from the SEC or FINRA for an eDiscovery production. The language of disclaimers, words like confidential, privacy, warranty, etc., can lead to unnecessary reporting by regulatory oversight systems, increasing the costs of legal reviews and eDiscovery productions. All this reported content is also kept in the archives of an institution at considerable cost. Disclaimers can often represent more than 20% of the archive space. A hyperlink solution simply eliminates the tagging and retention of these items in the archive. The key to legal defense is maintaining a managed repository of all disclaimers.

“Ultimately,” suggests Charles Weeden, managing partner of 17a-4, LLC, “most email disclaimers will be dismissed as inadmissible in litigation or regulatory issue. Most disclaimers have a generic link to the disclaimer such as xyzfinancial.com/disclaimer and there is no way to prove that at the time of an email a disclaimer specific disclaimer has been hyperlinked. The legal and compliance teams will periodically change the language of the disclaimer without an auditable and verifiable “chain of accountability” for each specific disclaimer. “

Mr Weeden continues, “Without hashing or other verification, courts and arbitration authorities will not accept the language of the disclaimer, resulting in no operational disclaimer for an e- mail or electronic message.

The 17a-4 eDisclaimer provides:

  • An independent e-mail disclaimer service with hyperlink
  • Full compliance with regulatory requirements, including guidelines # 33-7856, 34-42728, IC-24426
  • Legal defense of corporate e-mails and electronic messaging systems
  • Authentication of each instance of a disclaimer and the dates the disclaimer was linked
  • Managed repository for multilingual and conditional variants
  • Elimination of the disclaimer in an archive economy, in many cases up to 30% of storage costs
  • Reduced signaling of content during supervision (FINRA 3110) or language during e-discovery searches

As needed and as an additional service, 17a-4, LLC provides its eDisclaimer customers with expert testimonials. Upon request, we will provide the necessary verification of the integrity of the original disclaimer. 17a-4, LLC appeared as an expert witness with the SEC on administrative matters relating to email and message compliance.

For financial companies that want us to capture their hosted email warnings, 17a-4, LLC provides a daily service to maintain and preserve these warnings in accordance with SEC Rule 17a-4 (f).

For more information on eDisclaimer, visit 17a-4.com or email [email protected]

About 17a-4 LLC:

17a-4 is a compliance software and services company focused on solutions to meet the regulatory and e-discovery needs of institutional clients. Clients leverage the expertise of 17a-4 to ensure that information infrastructures comply with SEC (Rule 17a-4), FINRA and CFTC (Rule 1.31) regulations. Services 17a-4 include designated third party audits, books and records, archival reviews, and conformal architecture assessments.

The 17a-4 DataParser is the leading independent middleware solution for messaging compliance. DataParser offers onsite and hosted plans; deployed globally to manage corporate communications systems. The 17a-4 eDisclaimer is a hyperlinked email disclaimer service for regulatory compliance and corporate email legal protection. PostLog is 17a-4’s service to capture, format and transmit Twitter and YouTube data in any archive. The architecture of 17a-4 provides a single point where all email content can be managed for custody, legal and regulatory holdings, and eDiscovery productions.

17a-4 is based in New York.

All product and company names mentioned in this document may be trademarks of their registered owners.

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