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.
An Investor Paying $10K a Year to Store Paper Proxies Has a Point
SEC is proposing Regulation E-Delivery: electronic delivery as the default. A public commenter thinks paper is safer. The reason why matters for your compliance archive.
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Comma Archives WhatsApp with No Installed App on Employee Phones
Most compliance vendors rely on MDM profiles, endpoint agents, or device backups to capture WhatsApp. Comma doesn't. Here's why that distinction matters for FINRA.
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The Hidden Fees in Compliance Archiving & How to Spot Them
Compliance archiving vendors bury real costs in export fees, per-connector pricing, and migration lock-in. What to ask before you sign.
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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 reliable records — no iCloud reliance.
Jeremiah Church|
FINRA Rule 2210 for Startup Broker-Dealers | 2026 Guide
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.
Sasha|See why compliance teams switch to Comma.
A 20-minute walkthrough — real capture, real-time flagging, exam-ready exports across 40+ channels.