Securities Law Prof Blog

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

Friday, December 7, 2007

FINRA Issues Guidance on Supervision of Electronic Communications

FINRA issued Regulatory Notice 07-59, Supervision of Electronic Communications, containing guidance setting forth principles for firms to consider when developing supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and SRO rules.  The guidance was issued in final form after FINRA released it earlier this year for comment.  In the guidance FINRA makes clear that it expects a firm to have supervisory policies and procedures to monitor all electronic communications technology used by the firm and its associated persons to conduct its business.

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