NASD Notice to Members 07-30 - June 2007

NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications; Comment Period Expired July 13, 2007

Executive Summary

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.

View Full Notice PDF 98 KB

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.

Comments By Date Received
Libertas Capital Inc. (PDF 33 KB) 6/22/2007
1st Global (PDF 376 KB) 7/3/2007
Plexus Consulting (PDF 43 KB) 7/9/2007
RRBD Law (PDF 49 KB) 7/10/2007
ChoiceTrade (PDF 34 KB) 7/11/2007
17a~4 (PDF 87 KB) 7/11/2007
Nationwide Financial (PDF 20 KB) 7/11/2007
ACTIONS, Inc. (PDF 48 KB) 7/13/2007
Perlinski & Associates (PDF 37 KB) 7/13/2007
Investment Company Institute (PDF 108 KB) 7/13/2007
Orchestria Corporation (PDF 27 KB) 7/13/2007
Securities Industry and Financial Markets Association (PDF 81 KB) 7/13/2007
Morgan Stanley (PDF 57 KB) 7/17/2007
Financial Services Institute (PDF 76 KB) 7/19/2007
NAIBD (PDF 69 KB) 7/23/2007
ACTIONS, Inc. (PDF 48 KB) 7/24/2007
Citigroup Global Markets Inc. (PDF 71 KB) 7/30/2007