The NASD and NYSE want to know what you think about a proposed joint guidance regarding the review and supervision of electronic communications. The comment period will end on July 13.
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.
To view the entire proposal, click here
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