On Wed, Apr 14, 2004 at 09:46:53AM -0700, Mike Francis wrote: > There's a pretty good column on this in SecurityFocus. If you haven't > seen it: > http://www.securityfocus.com/columnists/233 > > It includes a discussion of the email question from the employer's > perspective. And it includes some wrinkles we haven't touched on -- for > example, compliance rules for broker-dealers requires the retention of > audit logs. Now, there's a question of whether that's legal. Because the SEC rules are in effect or actuality a law the question is which law prevails since, at least in New Hampshire, they seem to conflict. Certainly anyone communicating with a broker, securities dealer or transfer agent should be aware of the SEC rules about retaining transcripts of calls and emails. I would think that this point has been addressed in the past. New Hampshire can't be devoid of people who invest in mutual funds or the general market. -- Michael Rasmussen, Portland Oregon Be appropriate && Follow your curiosity http://meme.patch.com/memes/BicycleRiding Get Fixed: http://www.dampfixie.org The fortune cookie says: The discerning person is always at a disadvantage.
This archive was generated by hypermail 2b30 : Wed Apr 14 2004 - 11:49:21 PDT