NASD And NYSE Request Comment On Proposed Joint Guidance Regarding The Review And Supervision Of Electronic Communications - Comment Period Expires July 13, 2007

Executive Summary

Given the pace of technological innovations in electronic communications, and the breadth of possible communications subject to review, NASD and NYSE are issuing this Joint Request for Comment to solicit comments from members and other interested parties on proposed Joint Guidance regarding the review and supervision of electronic communications. The proposed Joint Guidance sets forth principles for members to consider when developing supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and self-regulatory organization rules.

Attachment A sets forth the proposed Joint Guidance on the review and supervision of electronic communications.

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("Copyright 2007 National Association of Securities Dealers, Inc.")