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.
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 |