Archiving every communication channel isn’t optional, it’s mission critical.
The SEC’s recordkeeping rule (Rule 204-2) requires firms to preserve all written business communications with clients and prospects, across email, text, social, apps, and the platforms that haven’t even launched yet.
And yet, fines continue to mount. In 2024 alone, the SEC levied more than $390 million in penalties against firms that failed to meet expectations.
As a Chief Compliance Officer, you know the challenge: fragmented systems, sprawling communication channels, and examiners who won’t accept excuses.
This guide shows you how to:
- Identify which channels fall under 204-2 (spoiler: all of them)
- Build archiving policies that hold up under scrutiny
- Close gaps that expose your firm to fines and reputational risk
- Turn archiving into a cornerstone of a defensible, exam-ready compliance program
Why Download This Guide?
✔ Cut through ambiguity: Learn exactly what Rule 204-2 requires and how examiners interpret it.
✔ Get practical frameworks: From texting to WhatsApp to LinkedIn, see how leading firms capture off-channel comms without disrupting business.
✔ Reduce risk exposure: Implement processes that stand up to surprise audits and enforcement actions.