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HolidayBuyer's Guide
Tech Industry

Short: Email guidelines for brokers

The New York Stock Exchange is expected to present guidelines to supervise email exchanges between brokers and customers. The guidelines would require brokerage firms to review and research reports and advertising material before they are sent, according to the Securities and Exchange Commission. Other forms of communications will only require minimal supervision. The SEC will also decide which files firms will need record.

The New York Stock Exchange is expected to present guidelines to supervise email exchanges between brokers and customers. The guidelines would require brokerage firms to review and research reports and advertising material before they are sent, according to the Securities and Exchange Commission. Other forms of communications will only require minimal supervision. The SEC will also decide which files firms will need record.