Rolls up a books-and-records channel inventory you declare. For each channel (email, chat, voice, messaging, text) you declare whether it is captured and its retrieval-test result (pass, fail, not run); the page computes the total, the captured count, a completeness percentage, the uncaptured listing, the retrieval-pass count, and an overall COMPLETE or GAPS_FOUND verdict. Every captured flag and test result here is yours: the page holds no tapes, no feeds, no registers, and no clock.
Declare each books-and-records channel with its capture status and retrieval-test result. captured and pass are your declarations: this page never verifies them against a records system. A channel declared not captured, or whose retrieval test is fail or not_run, contributes a gap; not_run is never an assumed pass.
| channel name | captured | retrieval_test |
|---|
Dated fact, measured 2026-09-04: the U.S. Securities and Exchange Commission has run a multi-year off-channel communications recordkeeping initiative (announced 2021-2024), charging well over one hundred broker-dealers and allied firms more than two billion dollars in combined penalties for preserving required business communications off the channels their policies declared; the underlying preservation duty sits in 17 CFR 240.17a-4(b)(4) (retain business communications, including electronic ones). Locator: sec.gov, SEC press releases and the off-channel communications initiative page. Derive command (EDGAR full-text search over filings referencing the initiative): curl -s "https://efts.sec.gov/LATEST/search-index?q=%22off-channel+communications%22&forms=8-K" This page states the fact as a dated observation and derives nothing live: it does not check any SEC feed, and the note promises no update.