Being compliant to regulations concerning electronic records is an increasingly serious challenge for businesses of all sizes. But it's a special distraction and economic burden for smaller businesses. In particular, meeting the SEC's strict regulations for email retention and availability is a major concern today for small broker-dealers and other financial services organizations, including investment advisors. Such securities-related firms must maintain a secure, non-alterable, and searchable archive of all their email for as long as seven years.

Specifically, these SEC, NYSE, and NASD regulations include such requirements as:

• Emails and attachments must be preserved in a non-alterable, non-rewritable, non- erasable format
• The company must be able to automatically verify the quality and accuracy of the archiving process
• Emails must be fully indexed and searchable
• All emails must be preserved for up to seven years, and in an accessible place for the first two years
• When emails are requested by the regulatory bodies, the stated retrieval time is "immediate"

The Clock Is Ticking. Industry consultants estimate that as many as half of the small broker-dealers and investment advisory firms in the U.S. are not in compliance today. But the reason comes down to two hard, simple realities: complexity and high cost.

Broker-dealers, regardless of revenue, employee headcount, daily transaction volume, or IT resources, are all subject to the same regulations as the household Wall Street names. These firms want to focus on asset management, not email management. They can neither afford complex, multi-vendor enterprise-level solutions, nor do they have the staff to integrate and implement them. But, with Intradyn's integrated appliance approach, life is becoming easier for these highly regulated firms!

Intradyn offers a unique solution for small and midsized brokerages and investment firms to archive their email in compliance with SEC regulations - simply, quickly, and very affordably: