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.
SEC Withdraws 14 Regulatory Proposals
The SEC has withdrawn 14 proposed rules aimed at AI oversight, ESG disclosures, & more. What it means for future compliance teams.
Jeremiah Church | 
FINRA Messaging Crackdown Costs Firm $400K – May 2025
In May 2025, FINRA fined Network 1 Financial for off-channel messaging failures. Learn what went wrong and how to strengthen compliance.
Sasha | 
RILAs, Social Media Influencers, and FINRA 2220
Explore FINRA’s 2025 findings on RILAs, influencers, mobile apps, & AI. Discover compliance gaps and how Comma Compliance helps firms stay compliant.
Jeremiah Church | 
SEC vs HIPAA compliance communications records
How HIPAA compliance records compare to SEC/FINRA rules, and what regulators expect for retention, auditability, and proof.
Jeremiah Church | 
Fund Managers: Pay attention to Messaging Compliance
Messaging compliance is a growing risk for fund managers, especially in the alt space. Here are practical steps firms can take now.
Jeremiah Church | 
Why Messaging Compliance is Critical for Financial Firms
Financial firms must prioritize messaging compliance to avoid fines, build trust, and future-proof against increasing regulatory scrutiny.
Sasha | 
Off-Channel Communications are a Ticking Time Bomb
Off-channel messaging apps are a compliance risk. Firms need tooling to avoid rising SEC/FINRA penalties without banning the apps employees rely on.
Jeremiah Church | See why compliance teams switch to Comma.
A 20-minute walkthrough — real capture, real-time flagging, exam-ready exports across 35+ channels.