March 30, 2021

SEC e-archiving requirements


Hey folks,

Got a question about e-archiving requirements for SEC compliance.

It seems clear to me that qualifying agencies have to archive 7 years of “communications,” which my team is interpreting as emails and instant-messages (Teams, Slack, etc.).

What’s murkier is whether semi-static documents need to be archived for 7 years, such as Word docs, Google docs, Dropbox, [Box.net](https://Box.net), etc.

Got any guidance?

Does this requirement change depending on the type of qualifying agency, i.e. registered investment advisors versus broker-dealers?

Thanks!

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