NYSE 342 — Offices — Approval, Supervision & Control

Requires member organizations to establish and maintain a system of supervision, demonstrate that their system is complete, evaluate it on a regular basis and ensure that it remains effective. NASD & NYSE affects members of the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE). Record-keeping requirements concerning Email communications.

Smarsh, Inc. assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for specific information on specific rules and regulations and how they apply to your business.

Helpful Links:

Rule interpretation from FINRA’s website

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