Explore Our Latest Compliance Insights and Industry Updates
The Comma Compliance Insights hub covers messaging compliance, recordkeeping obligations, and off-channel communications enforcement — with a focus on the encrypted channels regulators are examining most: WhatsApp, iMessage, and Signal.
Topics include SEC and FINRA enforcement, WhatsApp compliance archiving, iMessage retention under Rule 17a-4, Signal capture, Bloomberg Chat, LinkedIn, Microsoft Teams, Google Workspace, and the regulatory frameworks that govern business communications.
Written Supervisory Procedures: Why Generic Language Fails
FINRA examiners cite WSPs for vague language, missing platforms, and undefined review frequencies. Here's what compliant WSP language uses.
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How to Archive iMessage for SEC Compliance
iMessage archiving risks expose compliance gaps. Comma captures messages at delivery for complete, reliable records — no iCloud reliance.
Jeremiah Church | 
FINRA Rule 2210 Guide for Startups
Guide for startup broker-dealers on FINRA Rule 2210: pre-filing requirements, compliance workflows, and how to avoid costly marketing mistakes.
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The Compliance Risk of Ignoring Internal Collaboration Tools
Unarchived Slack, Teams, Google Docs, and Zoom create hidden compliance gaps. Learn how to capture and supervise every business conversation.
Jeremiah Church | 
SEC 2026 Examination Priorities: Key Compliance Changes
Don’t wade through the full report. Here are the key themes from the SEC’s 2026 exam priorities and what they mean for compliance teams.
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Comma Combines Human Judgment with Contextual Intelligence
AI can flag risks, but humans provide judgment. At Comma, we build with transparency by reducing noise, enhancing compliance, and maintaining trust.
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How Compliance & RMS Support an Oops Culture
Learn how an 'oops culture' paired with compliance software helps firms reduce risk, prove oversight, and build trust with regulators.
Jeremiah Church | 
FINRA’s Small Firm Talk: What It Means for Compliance Tech
Small firms face growing compliance burdens with limited resources. Learn how FINRA's Forward initiative helps lean teams stay ahead of regulatory demands.
Jeremiah Church | 
Signal Archiving After TeleMessage: What Compliance Officers Need to Know
How a Signal clone used by U.S. officials was breached in minutes — and what it means for compliance officers evaluating encrypted messaging archiving vendors.
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