NASD Notice to Members 07-30 - June 2007
NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications; Comment Period Expired July 13, 2007
Executive Summary
Given the pace of technological innovations in electronic communications, and the breadth of possible communications subject to review, NASD and NYSE are issuing this Joint Request for Comment to solicit comments from members and other interested parties on proposed Joint Guidance regarding the review and supervision of electronic communications. The proposed Joint Guidance sets forth principles for members to consider when developing supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and self-regulatory organization rules.
Attachment A sets forth the proposed Joint Guidance on the review and supervision of electronic communications.
| View Full Notice | PDF 98 KB |
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
| Comments By | Date Received |
|---|---|
| Libertas Capital Inc. | 6/22/07 |
| 1st Global (PDF 376 KB) | 7/3/07 |
| Plexus Consulting | 7/9/07 |
| RRBD Law | 7/10/07 |
| ChoiceTrade | 7/11/07 |
| Nationwide Financial (PDF 20 KB) | 7/11/07 |
| 17a~4 (PDF 87 KB) | 7/11/07 |
| ACTIONS, Inc. | 7/13/07 |
| Orchestria Corporation (PDF 27 KB) | 7/13/07 |
| Investment Company Institute (PDF 108 KB) | 7/13/07 |
| Perlinski & Associates | 7/13/07 |
| Securities Industry and Financial Markets Association (PDF 81 KB) | 7/13/07 |
| Morgan Stanley (PDF 57 KB) | 7/17/07 |
| Financial Services Institute (PDF 76 KB) | 7/19/07 |
| NAIBD (PDF 69 KB) | 7/23/07 |
| ACTIONS, Inc. | 7/24/07 |
| Citigroup Global Markets Inc. (PDF 71 KB) | 7/30/07 |
