Wednesday, June 20, 2007

NASD/NYSE Propose Email Guidance

As technology changes, so must the regulatory enviorment. The NASD and the NYSE have released proposed joint guidance for members, setting forth proposed principles for members to consider in their supervisory systems and procedures for all forms of electronic communication.

The Joint Guidance provisions encompass all aspects of electronic communications, and while not a rule proposal, the regulators are seeking comment on the guidelines. The comment period ends July 13, 2007.
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