Compliance Resources

Everything your team needs to understand how Comma Compliance works, what regulators expect, and how to stay ahead.

How Comma Works

Technical and architectural resources explaining how Comma captures, stores, and protects your communications.

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• WORM Storage & SEC Rule 17a-4 Compliance
  ‍How Comma meets immutable storage requirements for regulated communications.
• Why We Open-Sourced Our Capture Code
  How Comma's architecture differs from modified-app approaches, and why our WhatsApp and Signal connectors are on GitHub.
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Regulatory Guides

Plain-language explainers on the rules that govern your firm's communications.

• Off-Channel Messaging Compliance
  ‍What counts as off-channel communication, why regulators are enforcing it, and what firms need to do to stay compliant.
• SEC Rule 17a-4 Explained
  Retention periods, WORM storage, and what the rule actually requires in practice.
• FINRA Rule 3110: Supervision Requirements
  What firms need to know about supervisory obligations and 2026 updates.‍‍

Security & Data Protection

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• Security and Data Protection
  Encryption, access controls, infrastructure, and data residency details.

Glossary

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• Essential Compliance Terms
  Definitions of key compliance and security terms used across our platform and documentation.