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 FINRA.org
.pdf of the full notice
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