Ensure regulatory compliance and avoid hefty fines and penalties with Intradyn’s financial email archiving solution.
In financial services, every email, text, and post is a potential exhibit. Regulators expect you to produce any business communication on demand, in a tamper-proof format, years after it was sent. Miss the mark, and you're looking at fines, enforcement actions, and reputational damage that's hard to undo.
A purpose-built financial email archiving solution takes that risk off the table by automatically capturing, securing, and indexing every regulated message.That's what Intradyn does. For more than 15 years, we've helped broker-dealers, advisors, lenders, and banks meet their recordkeeping obligations without the cost and complexity of patchwork systems.
Financial firms answer to a long list of regulators, each with its own rules:
Since Dodd-Frank arrived in 2010, scrutiny has only intensified. SEC compliant email archiving and FINRA compliant email archiving are no longer optional–they’re table stakes.
A quick reality check on the core mandates:
The takeaway: archiving financial data defensibly requires automation, immutability, and fast search. Manual methods can’t deliver any of the three.
Intradyn's Email Archiver offers a predictable cost structure and the best total cost of ownership on the market, regardless of firm size. With it, you can:
Works with every major email provider and comes in three deployment options: virtual, cloud-based, and physical hardware.
Social media and text messages are subject to the same regulations as email. Intradyn captures those channels too, securely storing messages, enabling fast search, and applying access controls and legal holds across Facebook, Instagram, LinkedIn, X (Twitter), SMS/MMS, and WhatsApp, on BYOD, CYOD, and firm-issued devices.
Broker-dealers, investment advisors, lenders, and futures and transfer agents all rely on Intradyn to stay compliant with SEC 17a-3 and 17a-4, FINRA Communications Rules, FFIEC, NFA, CFTC, and Fair Lending Laws.
| Broker-Dealers Intradyn is capable of helping FINRA member firms of all sizes remain compliant with SEC 17a-3, 17a-4, FINRA Communications Rules and more. | Investment Advisors SEC-regulated firms can stay up to code with Intradyn’s automated data capture and custom retention policies. |
| Lenders Intradyn’s robust archiving capabilities enable lenders to remain compliant with FFIEC and FTC regulations, as well as Fair Lending Laws. | Futures & Transfer Agents Firms registered with the National Futures Association can rely on Intradyn’s email archiving services to ensure SEC, NFA and CFTC compliance. |
Generally at least three years under SEC 17a-4 (first two readily accessible), and six years for many records under FINRA Rule 4511.
No. Since the 2022 SEC amendments, firms can use WORM or a compliant audit-trail system. Intradyn supports defensible, tamper-proof retention either way.
Yes. Any business-related communication is subject to retention rules, regardless of the platform it's sent on.
Absolutely. Apply litigation holds, search instantly, and export records in native or PDF format for FRCP requests.
See why financial services firms nationwide trust Intradyn as their archiving partner. Contact our team today to request a quote or watch a short demo, and stop worrying about the next records request.
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