Comma Compliance @TresCommaComp

Compliance isn’t a luxury service. FINRA + SEC don’t care how much you message. They care if you archived the right ones. Flat fee pricing means you never pay extra to stay compliant. commacompliance.com/post/flat-fee-…

Trying to decode FINRA Rule 3110? We made it make sense—without the legal migraine. 📋 WSPs 📱 Message monitoring 🕵️‍♀️ No self-supervision 📂 Document or it didn’t happen Your compliance process shouldn’t be a mystery. 👇 commacompliance.com/post/finra-rul…

Not so fun fact: carrier pigeons went extinct ~20 years before the SEC was established. Fun fact: We can capture and archive all the way your team communicates, as long as carrier pigeons don't de-extinct. 🐦‍⬛ commacompliance.com/platform-integ… #commacompliance

One click from flagged risk to case. #compliance #regtech

Happy Labor Day! Take a day off. Comma Compliance will make sure to keep all those communications stored for Tuesday. :)

Culture > controls. The best compliance software fails if leaders cut corners. SEC Rule 17a-4 isn’t just regulation. It’s a culture test.

🎵Comma Comma Comma comma comma complianceeee. You flag and you spot check, you flag and you spottt check. 🎵 Sung to the tune of Karma Chameleon. Happy Friday of a 3-day weekend. Sorry that song is now stuck in your head for the entirety of it.

Set it and forget it? Great for rotisserie chicken. Terrible for compliance.

Shadow IT isn’t just an IT problem. Every rogue app is a compliance landmine. That’s how $2B in WhatsApp fines happened. If you're unsure how to keep what matters - we can help!

Throughout 2025, FINRA has stressed: digital-first doesn't equal digital-only. Don’t leave seniors & tech-wary investors behind. Offer paper or hybrid options alongside e-delivery to ensure you're protecting both your investors & your firm. #Investorprotection #Compliance

💡 Flat-fee compliance = peace of mind: ✅ Unlimited archiving ✅ All connectors included ✅ Predictable bills No surprises. Just coverage. commacompliance.com/post/flat-fee-…

2025 has shown: compliance doesn't mean constant surveillance. Blanket archiving = bloated + invasive. Smarter solutions capture only business comms, not your family texts. #transparencyincompliance #Compliance

What is a Super-App? SEC Chairman Paul Atkins explains the idea and how it would benefit investors. Check it out!

From 2021 to 2025, off-channel comms became a ticking time bomb. $2B+ in fines. Employees using WhatsApp or LinkedIn aren’t “rogue”—they’re realistic. Compliance must adapt. We can capture all your LinkedIn DMS and iMessage - or just the business messages. #RegTech #SEC

Enron had shredders. Wall Street today has WhatsApp. The tech changes. The rule doesn’t. SEC Rule 17a-4: keep the records, or lose the trust.

We're not anti-AI. We're anti-ai-washing. Throughout 2025, AI has been reshaping compliance: ✅ Real-time risk detection ✅ Cost savings ⚠️ Risks of bias & over-reliance The winning model? AI + human oversight. Thoughts? #FinTech

Since 2021 through 2025, regulators have handed out $2B+ in fines for unmonitored messaging apps. If you're Trogdor, playing with fire is fun. If you're a firm relying only on email compliance, then you're playing with fire that...isn't fun. #SEC #FINRA

Back in June (I know, forever ago, right?!), the U.S. House banned WhatsApp for official use. Why? Encryption isn’t enough without a tamper-proof archive. Security ≠ compliance. Secure compliance=Us. And yeah, we'll store your business's WhatsApps. #GovTech #Messaging

In May 2025, FINRA fined a firm $400K for off-channel comms on WhatsApp, Signal & iMessage. Lesson: If it’s business-related, regulators expect it archived. And hey, if you want, we can help! :) #Compliance #FINRA #commacompliance

Compliance shouldn’t feel like surge pricing. 🚫 Per-message & per-connector fees punish growth and risk compliance gaps. We ditched that. Flat fee, per user, unlimited. 👉 Every message, every time. commacompliance.com/post/flat-fee-…