FINRA Regulatory Notice 07-59

Similar to FINRA Regulatory Notice 10-06, FINRA Regulatory Notice 07-59 is titled “Supervision of Electronic Communications.” This regulatory notice provides guidance regarding the review and supervision of electronic communications.

Key observations:

“…a member firm’s obligations to supervise electronic communications are based on the content and audience of the message, rather than the electronic form of the communication.”

“FINRA expects a firm to have supervisory policies and procedures to monitor all electronic communications technology used by the firm and its associated persons to conduct the firm’s business.”

Helpful Links:

An executive summary on
.pdf of the full notice

Related Industries:

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.