Explore Our Latest Compliance Insights and Industry Updates

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At Comma Compliance, we’re here to help you stay ahead. Our Insights hub brings you expert articles, real-world best practices, and the latest regulatory updates, all focused on making compliance simpler and smarter.

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Explore topics like messaging app compliance for WhatsApp, iMessage, Signal, LinkedIn, Bloomberg Chat, Google Suite, Microsoft, and more. We’re constantly sharing new ideas and strategies to help you protect your communications, manage digital risk, and keep pace with a rapidly changing regulatory landscape.

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Have a compliance question or a topic you’d like us to explore? Get in touch! We’d love to hear from you.

For an explanation of key compliance and security terms, you can find our compliance glossary here.

Business

Compliance insights for FINRA’s 6th National Financial study | CC Insights

A high‑level overview of FINRA’s 6th National Financial Capability Study (2025) and practical compliance insights for building transparency, trust, and better financial services.
Jeremiah
July 24, 2025
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3
min read
Ideas

HIPAA Meets iMessage (Beyond Finance Series, #1)

Explore how healthcare is adapting HIPAA’s 1996 rules to today’s off-channel messaging—from iMessage to WhatsApp—and what compliance teams need to know.
Jeremiah
July 22, 2025
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5
min read
Business

House WhatsApp Ban: FOIA Risk & Compliance Fixes

The U.S. House bans WhatsApp, citing FOIA record-keeping gaps. Learn why end-to-end encryption alone fails compliance and how to archive WhatsApp securely.
Jeremiah
June 23, 2025
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2
min read
Business

SEC Withdraws 14 Regulatory Proposals

The SEC has withdrawn 14 proposed rules aimed at AI oversight, ESG disclosures, cybersecurity, and more, marking a major policy shift under new leadership. Here's what it means for compliance teams and the future of regulation.
Jeremiah
June 23, 2025
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4
min read
Productivity

FINRA Rule 2210 Guide for Startups

Practical guide for startup broker-dealers on FINRA Rule 2210: learn pre-filing requirements, build a lightweight compliance workflow, avoid costly marketing mistakes.
Sasha
June 23, 2025
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14
min read
Business

FINRA Messaging Crackdown Costs Firm $400K – May 2025

In May 2025, FINRA fined Network 1 Financial for surveillance failures tied to off-channel messaging. Learn what went wrong and how firms can strengthen compliance to avoid similar penalties.
Sasha
June 23, 2025
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2
min read
Business

FINRA 25-07: Rethinking Communication Oversight

DMs, apps, remote work... are your compliance tools keeping up? FINRA's 25-07 says it's time to modernize.
Sasha
June 12, 2025
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9
min read
Business

The TeleMessage/Signal Clone Scandal Timeline

A timeline of the TM SGNL breach, showing how a Signal clone used by U.S. officials was hacked in minutes, with new details from CISA's catalog of known exploited vulnerabilities.
Sasha
July 2, 2025
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3
min read
Productivity

Business Messaging Compliance: Retaining what matters

Learn how to meet FINRA’s communication archiving rules without capturing personal conversations. Compliance does not require overcollection. It requires smarter filtering.
Jeremiah
June 12, 2025
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3
min read
Business

How to Comply with FINRA Rule 3110 Without Losing Your Mind

Learn exactly what FINRA Rule 3110 requires - from written supervisory procedures to branch inspections, and how to build a rock-solid compliance system
Jeremiah
June 23, 2025
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5
min read
Business

The Growing Compliance Struggle: Why Off-Channel Communications Are a Ticking Time Bomb

Off-channel messaging apps like iMessage and WhatsApp are a growing compliance risk, with regulators ramping up enforcement. With $2B+ in fines since 2021, firms need better tools to avoid rising SEC and FINRA penalties while ensuring compliance without banning the apps employees rely on.
Jeremiah
June 8, 2025
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7
min read

Why Messaging Compliance is Critical for Financial Firms

Financial firms must prioritize messaging compliance to avoid fines, build trust, and future-proof their business in the face of increasing regulatory scrutiny.
Sasha
June 12, 2025
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3
min read

3 Ways we Reduce Compliance Costs for Financial Firms

From cost-effective solutions like virtualized Apple accounts on macOS 15 and scalable S3 storage, Comma Compliance cuts messaging compliance costs by over 3x.
Sasha
June 12, 2025
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4
min read
Business

Fund Managers: Pay attention to Messaging Compliance | CC Insights

Messaging compliance is a growing risk for fund managers—especially in the alt space. Regulators are cracking down, but there are practical steps firms can take now.
Jeremiah
July 24, 2025
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4
min read

The Future of AI in Compliance: Opportunities and Risks

AI offers financial firms unparalleled compliance efficiency and scalability while requiring careful management of data security, biases, and human oversight.
Jeremiah
June 2, 2025
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5
min read

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We prioritize depth over frequency, focusing on well-researched, high-value content that helps you navigate compliance challenges with clarity. While we do have a natural bias toward our own solutions, we’re committed to providing thoughtful, balanced insights you can trust. If there’s a topic you’d like us to explore, let us know—we’re always open to covering what matters most to our readers.

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