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NASD Guidelines for Instant Messages

According to this National Association of Securities Dealer’s June 18 press release:

  • “NASD today advised member firms about the use of “instant messaging” by employees, saying firms must ensure the instant messaging is being retained for at least three years and the communication does not violate NASD rules governing sales literature and correspondence.”
  • “The Notice to Members details the applicable NASD and SEC rules and guidelines to assist registered representatives and firms in their use and supervision of electronic communications with the public.”
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