Insights
Messaging compliance, SEC/FINRA regulations, and communication archiving.
How to Archive iMessage for SEC Compliance
iMessage archiving risks expose compliance gaps. Comma captures messages at delivery for complete, reliable records — no iCloud reliance.
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.
Business Messaging Compliance: Retaining what matters
How to meet FINRA's communication archiving rules without capturing personal conversations. Compliance requires smarter filtering, not overcollection.
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.
Compliance insights: FINRA’s 6th National Financial Study
Key compliance insights from FINRA's 6th National Financial Capability Study (2025) — transparency, trust, and better financial services.
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.
FINRA Rule 2210 Guide for Startups
Guide for startup broker-dealers on FINRA Rule 2210: pre-filing requirements, compliance workflows, and how to avoid costly marketing mistakes.
FINRA Rule 3110: Supervision Requirements & 2026 Updates
Understand FINRA Rule 3110 with plain-language guidance on WSPs, inspections, and 2025 remote supervision updates — plus compliance best practices.
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.
Flat-Fee Compliance Software Pricing
Discover why flat-fee compliance software pricing beats per-message and per-connector models. Predictable budgets, all-channel coverage, no hidden fees.
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.
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.
House WhatsApp Ban: FOIA Risk & Compliance Fixes
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.
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.
How Compliance & RMS Support an Oops Culture
Learn how an 'oops culture' paired with compliance software helps firms reduce risk, prove oversight, and build trust with regulators.
Open-Sourcing Compliant WhatsApp & Signal Capture Code
Comma Compliance lifted the veil on message capture—publishing WhatsApp & Signal connectors on GitHub for full auditability, security, and control.
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.
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.
Why SEC Rule 17a-4 Exists and how Firms Stay Compliant
Understand SEC Rule 17a-4 in plain English: retention periods, WORM storage, compliance pitfalls, and AI-era challenges.
SEC vs HIPAA compliance communications records
How HIPAA compliance records compare to SEC/FINRA rules, and what regulators expect for retention, auditability, and proof.
FINRA’s Small Firm Talk: What It Means for Compliance Tech
Small firms face growing compliance burdens with limited resources. Learn how FINRA's Forward initiative helps lean teams stay ahead of regulatory demands.
The TeleMessage/Signal Clone Scandal Timeline
A timeline of the TM SGNL breach (TeleMessage) showing how a Signal clone used by U.S. officials was hacked in minutes.
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.
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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.