in SEC off-channel communication violations
A text policy alone is not a defense.
Source: SEC Annual Report, FY2025 (sec.gov)
Compliant texting from personal phones
iMessage, WhatsApp, and Android texting using native apps
- Contact-level whitelisting captures business texts and keeps personal messages private
- AI reviews every message in the context of SEC and FINRA off-channel communication rules
Personal texts stay private.
Your advisors' personal conversations are never captured. Archive Intel uses contact-level whitelisting so only business communications are archived. Personal texts stay completely private.
Each rep selects business contacts directly from their personal phone. Setup is immediate. Nothing changes about how they text.
Compliance or admin teams build and manage the contact list centrally. Consistent coverage across every advisor and location.
The whitelist syncs with your client database. As your book of business changes, the archive updates automatically.
"Our Registered Reps now text clients from their personal devices, with it all archived automatically. Archive Intel's solution has given our firm the ability to use more avenues of communication, in a safe and compliant way."
See text archiving from personal phones in action.
No second phone. No new number. Built for regulated firms of every size.