Transcription of Regulatory Notice 07-59
{{id}} {{{paragraph}}}
Example: bachelor of science
Regulatory Notice 07-59
Regulatory Notice 07-59 . Supervision of Electronic December 2007. Communications Notice Type FINRA Provides Guidance Regarding the Review Guidance and Supervision of Electronic Communications Suggested Routing Compliance Executive Summary Legal In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for Operations comment proposed guidance regarding the review and supervision of Registered Representatives electronic communications. FINRA received 17 comment letters, with a Senior Management majority of commenters supporting the guidance. FINRA is now issuing Training the final guidance, which is set forth in Attachment A. Questions concerning this Notice should be directed to: Key Topic(s). Correspondence General Patricia Albrecht, Assistant General Counsel, Office of General Counsel, at (202) 728-8026; Electronic Communications Supervision Donald K. Lopezi, Deputy Director, Examinations Program, at (202) 728-8132.
2 RegulatoryNotice 07-59 December 2007 Amajorityofcommenterssupportedtheproposedprinciple-basedguidance,4 withmanyconsideringittobebalanced,flexibleandtechnologicallyneutral.5One
Information
Domain:
Source:
Link to this page:
Please notify us if you found a problem with this document: