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Article: FINRA Offers New Guidance On Review And Supervision Of Electronic Communications.(Financial Industry Regulatory Authority)
- Article from:
- Mondaq Business Briefing
- Article date:
- December 19, 2007
CopyrightCOPYRIGHT 2007 Mondaq Ltd. This material is published under license from the publisher through the Gale Group, Farmington Hills, Michigan. All inquiries regarding rights should be directed to the Gale Group. (Hide copyright information)
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On December 7, 2007, the Financial Industry Regulatory Authority (FINRA) - the entity formed this year through the merger of NASD Dispute Resolution and NYSE Member Regulation - issued Regulatory Notice 07-59 providing new guidance for the review and supervision of both internal and public electronic communications, as required by FINRA rules and U.S. federal securities laws for correspondence to and from registered representatives. The guidance sets forth principles for members to consider when developing policies and procedures for electronic communications that will comply with those rules and laws. The guidance does not create any new supervisory requirements; nor does ...