A Light at The End of The E-Mail Tunnel

COMPLIANCE

Like all broker/dealers, Westport Resources faced an important decision last year. The Securities and Exchange Commission (SEC)-imposed deadline to ensure that e-mail and instant messages (IMs) were being archived and audited according to the commission's books and records rules was looming. But there was still a lot of debate in the industry as to how the rules should be interpreted.

Because of the uncertainty and the cost of implementing a comprehensive automated e-mail archiving system, many

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