Notice to Members 07-30

NASD and NYSE Request Comment on Proposed Joint Guidance Regarding the Review and Supervision of Electronic Communications;

Comment Period ExpiredJuly 13, 2007

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.

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: 
DateCommenterFormat - Size
7/13/2007ACTIONS, Inc.PDF - 47.13 KB
7/13/2007Perlinski & AssociatesPDF - 36.71 KB
7/11/2007ChoiceTradePDF - 33.29 KB
7/10/2007RRBD LawPDF - 48.22 KB
7/13/2007Securities Industry and Financial Markets AssociationPDF - 80.29 KB
7/13/2007Investment Company InstitutePDF - 107.8 KB
7/11/200717a~4PDF - 86.25 KB
7/11/2007Nationwide FinancialPDF - 19.54 KB
7/9/2007Plexus ConsultingPDF - 42.55 KB
7/3/20071st GlobalPDF - 375.41 KB
6/22/2007Libertas Capital Inc.PDF - 32.25 KB
7/17/2007Morgan StanleyPDF - 56.92 KB
7/24/2007ACTIONS, Inc.PDF - 47.86 KB
7/23/2007NAIBDPDF - 68.16 KB
7/30/2007Citigroup Global Markets Inc.PDF - 70.48 KB
7/13/2007Orchestria CorporationPDF - 32.26 KB
7/19/2007Financial Services InstitutePDF - 75.68 KB