Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Thursday, June 14, 2007

NASD-NYSE Proposed Guidance on E-Mail

As mentioned earlier, the NYSE and NASD have released for public comment a Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications, which sets forth principles for member organizations to consider when developing supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with securities laws and SRO rules.  Comments are due by July 13, 2007.

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