RocketDocs Benefits To SEC Record Keeping

For SEC-registered investment advisers, recordkeeping under Rule 204-2 is non-negotiable.

The SEC has issued more than $63 million in recent penalties for failing to preserve required records—often due to gaps in capturing all communications and materials, including those sent via unapproved or unaudited channels. Traditional email archiving frequently falls short, storing

only select versions and omitting important drafts, notes, and supporting documents.

RocketDocs changes that. Our platform centralizes your RFPs, proposals, marketing materials, and related records in a secure, searchable environment—preserving every version, note, and attachment so you can demonstrate full compliance at any time. With advanced indexing and

export capabilities, you can respond to regulator requests quickly, minimizing disruption to daily operations. Unlike generic content systems, RocketDocs is built for firms that can’t afford gaps in their recordkeeping.

We help you:

• Meet Rule 204-2 requirements with complete, retrievable archives

• Go beyond email retention to capture the full history of your work

• Proactively reduce enforcement risk with immutable, secure storage

• Save time during audits with instant search and export tools

• In a regulatory environment where details matter, RocketDocs gives you the confidence that your records—and your reputation—are protected.

In a regulatory environment where details matter, RocketDocs gives you the confidence that your records—and your reputation—are protected.