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If you’re in financial services, you’re likely required to archive your business communications. CurrentClient makes this easy by integrating with the most popular compliance archivers, so your texts are automatically captured and preserved.

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Why you need to archive

Financial regulators require firms to retain records of all business-related communications. This includes text messages, calls, and other electronic correspondence, regardless of whether they’re sent through company systems or personal devices.
SEC Rule 17a-4 is the primary regulation governing electronic recordkeeping for broker-dealers. It requires firms to preserve business communications for at least three years and make them accessible within 24 hours of a regulatory request.

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Key regulations

SEC Rule 17a-4 requires broker-dealers to:
  • Preserve electronic communications (emails, texts, instant messages) for 3+ years
  • Store records in a non-rewriteable, non-erasable format (or use an audit-trail system)
  • Produce records promptly upon regulatory request
FINRA Rule 4511 requires member firms to:
  • Make and preserve books and records per FINRA and SEC rules
  • Retain records covering emails, texts, instant messages, and social media
  • Comply regardless of whether communications are sent via firm or personal devices
FINRA Rule 3110 requires firms to:
  • Establish supervisory systems for electronic communications
  • Review written and electronic communications as part of compliance procedures
Regulators actively enforce these requirements. Off-channel communications sent through personal devices or unauthorized apps like WhatsApp are a particular focus. Failing to archive business communications can result in significant penalties, including fines and suspension.

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How archiving works with CurrentClient

Setting up archiving takes just a few minutes:
1

Choose your archiver

Select your compliance archiver from the list below.
2

Get your journal address

Your archiver will provide you with a journal destination email address. This is where CurrentClient sends your communications.
3

Connect in CurrentClient

Add the archiver connection in your CurrentClient settings and enter your journal address. That’s it!
Once connected, all your text messages are automatically captured and sent to your archiver in real-time.

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Learn more

For detailed information on recordkeeping requirements, check out these official resources:

SEC Rule 17a-4

Official SEC guidance on electronic recordkeeping requirements

FINRA Books and Records

FINRA’s guidance on books and records requirements

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Choose your archiver

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Archive Intel

Journal destination email archiving
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Comply

Formerly RIA In A Box

Email Archive

Generic email journal archiving
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Erado

Journal destination email archiving
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Global Relay

Journal destination archiving
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Google

GSuite journal destination archiving
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Greenboard

Journal destination email archiving
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Hadrius

Journal destination email archiving

Intradyn

Journal destination archiving
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MessageWatcher

Journal destination email archiving
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Microsoft Outlook

Journal destination email archiving
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MirrorWeb

Journal destination email archiving
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MyRiaCompliance

Journal destination email archiving
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Patrina

Journal destination email archiving
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Presults

Journal destination email archiving

Proofpoint

Journal destination archiving
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RIA Comp Tech

Journal destination email archiving
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Slack Archive

Capture activity to a Slack channel
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Smarsh

Journal destination archiving
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XY Archive

Email monitoring archiving