Securities Law Prof Blog

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

Thursday, June 14, 2007

SROs will Issue Guidance on E-Mail

A joint NYSE-NASD committee will issue proposed guidelines on how securities firms should monitor written electronic communications both inside and outside the firm, as well as regulate employees' personal use of cellphones, text-messaging etc.  A concern that the guidelines, while expressed as best practices, will lead to SRO enforcement actions for violations.  See NYTimes, Wall Street to Get Guidelines on E-Mail.

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