Archive Intel

Frequently looked up

Q1What is communications archiving?

Communications archiving is the capture, storage, and retrieval of business communications including email, text messages, social media, and instant messaging in a WORM-compliant format that satisfies regulatory recordkeeping requirements. For SEC and FINRA regulated firms, archiving is a legal requirement governing how long records must be kept, in what format, and how quickly they must be produced during examination or legal proceedings.

Q2Who is required to archive business communications?

Any firm registered with the SEC or FINRA must archive business-related communications, including broker-dealers, registered investment advisors, investment companies, and firms subject to FINRA marketing and supervision rules. If an advisor, representative, or employee uses any channel such as email, text, LinkedIn, or WhatsApp for business purposes, that channel must be archived.

Q3Are there retrieval fees if we need records during an exam?

No. Archive Intel charges no retrieval fees and no export fees. All archived records are accessible on demand at no additional cost, including during examinations, litigation holds, or internal investigations.

Q4Does Archive Intel capture text messages from personal phones?

Yes. Archive Intel captures SMS and MMS from both firm-issued and personal devices. Personal device capture typically requires enrollment of a lightweight mobile profile. The SEC and FINRA do not distinguish between personal and firm-issued devices, so if an advisor uses their personal iPhone to send a client a business text, that text is a business record.

Q5How does per-seat per-connector pricing work?

Each communication channel is a connector. You pay per user per connector your firm activates with no minimums and no tier jumps. You pay only for the channels and users your firm needs, and pricing adjusts automatically as your headcount or channel list changes.