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.
- **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 17a-4 Regulation
Retention periods, WORM storage, and what the rule actually requires in practice. - FINRA Rule 4511: Books and Records
- FINRA Rule 3110: Supervision Requirements
What firms need to know about supervisory obligations and 2026 updates.
Security & Data Protection
- Security and Data Protection
Encryption, access controls, infrastructure, and data residency details.
Glossary
- Essential Compliance Terms
Definitions of key compliance and security terms used across our platform and documentation.