NYSE e-communication review is underway
NEW YORK – The New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD) have released a consultation paper on proposed guidance for electronic communications.
The paper has been issued in response to the rapid evolution and innovation witnessed in the field of electronic communication in recent years. Both the NYSE and NASD are keen to see some form of supervision and review to ensure firms can be confident that new electronic communications are compliant with various federal securities laws and self-regulatory organisation rules.
Among the key proposals in the paper is the option for firms subject to NYSE and NASD rules to take a risk-based approach
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