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 Quo Calling business call archived in Comma — showing the audio recording, auto-generated transcript, SEALED status, and participant details.

A captured Quo call in Comma: recording, transcript, and WORM-sealed status in one record.

Why it matters by role

For your compliance team

  • One archive, one review queue

    Quo Calling records land in the same archive as your 40+ messaging and email channels. One supervision workflow, one export path, one place to respond to an examiner request.

  • 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.

  • WORM-sealed storage

    Calls are locked in tamper-proof storage on capture. An employee deleting a call in Quo does not affect the compliance record.

For your employees

  • Quo Calling works exactly as it does today

    No workflow change. Employees make and receive calls normally. The archive is created automatically on the compliance side.

  • No workflow change

    Employees make and receive calls exactly as they do today. Nothing to install, no exports to run.

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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Other channels we support

IMAP Email Archiving

Any IMAP-compatible mailbox captured into the same archive as your calls and messages.

See solution →

WhatsApp Compliance

Native WhatsApp capture for personal and Business accounts.

See solution →

All 40+ Channels

From collaboration tools to email to messaging apps, Comma has you covered.

See all channels →