NASD Notice to Members 03-33 - July 2003

Clarification for Members Regarding Supervisory Obligations and Recordkeeping Requirements for Instant Messaging

Executive Summary

NASD is clarifying for members their supervisory obligations and recordkeeping requirements with respect to instant messaging.

 

Questions concerning this Notice may be directed to Mary Sue Fisher, Special Counsel, Regulation Policy, Department of Member Regulation at (202) 728- 8277, or Thomas A. Pappas, Associate Vice President, Advertising Regulation at (240) 386-4553.