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Comma Compliance

Voice, Call & Meeting

Quo keeps your calling organized.

Comma keeps your compliance team focusing on what matters.

Voice calls between your team and clients are subject to the same SEC Rule 17a-4 and FINRA Rule 4511 recordkeeping requirements as email and messaging. Comma captures every Quo Calling business call — recording, transcript, participants, and timestamps — and stores it in a tamper-proof, exam-ready archive.

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SEC Rule 17a-4 and FINRA Rule 4511 apply to business communications regardless of channel. A client call handled through Quo Calling carries the same recordkeeping obligation as an email or a WhatsApp message. If your advisors or bankers use Quo Calling for client conversations, those calls need to be in the archive.

Most compliance programs have historically captured desk phones and recorded lines, and left business VoIP calls unarchived. Quo Calling is where a growing share of client conversations actually happen — and Comma closes that gap.

What gets captured

Comma connects to Quo Calling and captures every business call automatically. No call recorder on the device, no manual export, no changes to how Quo Calling works.

Every call, sealed on arrival

Each captured call includes the audio recording, an auto-generated transcript, call duration, direction (inbound or outbound), answer status, and the participant phone numbers. Records are written to WORM-grade storage the moment the call ends.

A captured Quo call in Comma: recording, transcript, and WORM-sealed status in one record.
A Quo Calling business call archived in Comma — showing the audio recording, auto-generated transcript, SEALED status, and participant details.

Why it matters by role

For your compliance team

  • Complete records, not just metadata

    Every captured Quo call includes the audio recording, a full auto-generated transcript, call direction, duration, and participant numbers. Everything an examiner needs is in a single record — no separate systems to pull from.

  • Transcripts included

    Every captured call has a full transcript. Filter by custodian, date, or phone number to find the record you need — without pulling audio files manually.

For your IT team

  • One prerequisite: Quo call recording on

    Comma captures from Quo's built-in call recording. Enable it in your Quo settings once — no additional infrastructure, no recording device to deploy.

  • Single-step setup, no admin handoff

    Connect Quo with one API key from your Quo workspace settings. No second person needed, no OAuth flow, no device configuration — done in under two minutes.

For your employees

  • Quo is calling-only — nothing else changes

    Quo handles calls. That's the entire compliance surface on this platform. Employees make and receive calls as always — nothing to install, no exports to run, no additional apps on their device.

FAQ about Quo Calling compliance archiving

Are voice calls subject to SEC and FINRA recordkeeping?
Yes. SEC Rule 17a-4 and FINRA Rule 4511 require broker-dealers to retain records of all business communications, including voice calls. FINRA Rule 3110 additionally requires firms to supervise those communications. A client conversation that happens over Quo Calling is a business record with the same retention and production obligations as an email.
Does anything need to be configured in Quo?
Yes — Quo's built-in call recording must be enabled. Comma captures from those recordings automatically. No additional recording infrastructure is needed beyond what Quo already provides. See the Quo setup guide for step-by-step instructions.
What does a captured call include?
Each record includes the audio recording, a full auto-generated transcript, call direction and answer status, duration, timestamps, and the participant phone numbers. Everything needed to produce the record on examiner request is captured in one place.
What happens to the record if an employee deletes the call in Quo?
Nothing. The record is written to WORM-grade storage the moment the call ends. Deletion on the employee's device or in Quo has no effect on the compliance archive.
Does this go into the same archive as our other channels?
Yes. Quo Calling records are captured alongside your messaging, email, and other channels in one archive with a single supervision queue and a single export path.

Your team is already calling clients on Quo.

Capture those calls the same way you capture everything else — into one tamper-proof, exam-ready archive.

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