| 12/31/01 |
| NASD Notice to Members 01-65 - Comment on Proposed Rules and Policies For Expungement of Central Registration Depository ("CRD") Information
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| 12/21/01 |
| NASD Notice to Members 01-59; Proposed Amendments to Rule 2710 to Address Shelf Offerings of Securities |
| 12/17/01 |
| Interest Expense Allocation and Apportionment Rules of Sections 1.861-9T, 1.861-10T, and 1.882-5 - Notice 2001-59 |
| 12/07/01 |
| Comments on Proposed Convention on Law Applicable to Dispositions of Securities Held Through Indirect Holdings |
| 12/06/01 |
| Status of Intermarket Linkage Plan and SEC Rule 11Ac1-7
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| 12/06/01 |
| Status of Intermarket Linkage Plan and SEC Rule 11Ac1-7 |
| 12/05/01 |
| Treatment of Customer Funds, 66 Fed. Reg. 50786 (October 4, 2001) CFTC: Proposed Rule 41.42 - Treatment of Customer Funds SEC File No. S7-17-01 > |
| 12/05/01 |
Proposed Customer Margin Rules Relating to Security Futures, 66 Fed. Reg. 50720 (October 4, 2001); Release No. 34-44853 SEC File No. S7-16-01
|
| 12/05/01 |
Proposed Customer Margin Rules Relating to Security Futures, 66 Fed. Reg. 50720 (October 4, 2001); Release No. 34-44853 SEC File No. S7-16-01
|
| 12/05/01 |
| Treatment of Customer Funds, 66 Fed. Reg. 50786 (October 4, 2001) CFTC: Proposed Rule 41.42 - Treatment of Customer Funds SEC File No. S7-17-01 |
| 12/04/01 |
| SIA Urges Options Exchange to Implement the SEC Linkage Plan (Rule 11ac1-7)
|
| 11/21/01 |
| SEC Concept Release: Request for Comment on the Effects of Decimal Trading in Subpennies [Securities Exchange Act Release No. 44568; File No. S7-14-01] |
| 11/19/01 |
CESR Draft Statement on Consultation Practices (Ref. CESR/01-007b)
|
| 11/05/01 |
| SIA Operations Committee Letter Regarding Potential Strengthening of the NYSE 412 Rule |
| 10/30/01 |
| FESCO Should Coordinate ATS Standards with EC |
| 10/10/01 |
| SIA Requests that the SEC and CFTC Extend the Relevant Comment Periods for These and Any Subsequent Rulemaking Proposals by an Additional Thirty Days |
| 09/04/01 |
| Proposed Penalty Increases in the Tax Shelter Staff Discussion Draft |
| 08/30/01 |
| The Nasdaq Stock Market, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, Release No. 34-44396, File No. 10-131 |
| 08/28/01 |
| Supplemental Comments Regarding Electronic Filing by Investment Advisers and Proposed Amendments to Form ADV (IA-1862; File No. S7-10-00) |
| 08/22/01 |
| Proposed Amendment to Rule 2210; SIA Supports Enhanced Disclosure to Investors of Information Relating to Potential Conflicts of Interest that Securities Analysts May Face |
| 08/15/01 |
| Proposed Regulation W and Interim Final Rules on Intraday Extensions of Credit |
| 08/15/01 |
| Transactions between Banks and their Affiliates (Docket Nos. R-1103 and R-1104)
|
| 08/14/01 |
| Information Reporting Requirements on Sales Effected by Brokers for their Customers (¿Broker Reporting¿) - Section 6045
|
| 08/03/01 |
| Narrow-Based Security Indexes, SEC File No. S7-11-01
|
| 07/31/01 |
Special NASD Notice to Members 01-35 -- Request for Comment on Rule Modernization Project
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| 07/27/01 |
Proposed Regulations on Global Dealing, Appendix: Treatment of Cost of Carry
|
| 07/24/01 |
| The Nasdaq Stock Market, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, Release No. 34-44396, File No. 10-131
|
| 07/17/01 |
| Interim Final Rules for Banks Under Sections 3(a)(4) and 3(a)(5) of the Securities and Exchange Act of 1934, Release No. 34-44291, File No. S7-12-01
|
| 06/28/01 |
| SIA Letter to The Honorable Thomas A. Daschle urging him to schedule immediate floor action on the Investor and Capital Markets Fee Relief Act, H.R. 1088 |
| 06/15/01 |
| Comment Letter on GDSC's Involuntary Insolvency Draft Recommendation |
| 06/14/01 |
| Temporary Regulations Under Section 6112 of the Internal Revenue Code |
| 06/14/01 |
| Response to Petition for Rulemaking dated March 28, 2001 by the Investment Company Institute ("CI"), with Respect to "certain portfolio investment programs"
|
| 06/11/01 |
| SIA Letter to The Honorable W.J. "Billy" Tauzin Urging Support of the Investor and Capital Markets Fee Relief Act of 2001 (H.R. 1088)
|
| 05/31/01 |
| Risk Management Committee Comment Letter on New Basle Capital Proposal |
| 05/23/01 |
| Basel II Comment Letters |
| 05/17/01 |
| Testimony - Fair Disclosure or Flawed Disclosure: Is Regulation FD Helping or Hurting Investors? |
| 05/17/01 |
| Computation of the Credit for Increasing Research Activities and the Definition of Qualified Research |
| 05/01/01 |
| Proposal Regarding Real Estate Brokerage and Management Activities of Financial Holding Companies, Docket No. R-1091 |
| 04/25/01 |
| Cover Letter - Safe Harbor for Values Conforming to Taxpayer's Applicable Financial Statement |
| 04/25/01 |
| Comments on Safe Harbor for Values Conforming to Taxpayer's Applicable Financial Statement |
| 04/20/01 |
| Comment Letter on April 24, 2001 Regulation FD Roundtable |
| 04/19/01 |
| Proposed Amendment to Rules under the Investment Company and Investment Adviser Acts Regarding Electronic Recordkeeping by Investment Companies and Investment Advisers (Release Nos. IC-24890 and IA-1932; File No. S7-06-01) |
| 04/19/01 |
| SIA Comment on the American Institute of Certified Public Accountants Fair Value Project |
| 04/17/01 |
| Regulatory Reinvention: A New Regulatory Framework for Trading Facilities, Intermediaries and Clearing Organizations, and Opting Out of Segregation, Commission Rule 1.68 |
| 04/16/01 |
| SIA proposed Risk-Based Capital Rule for Nonfinancial Equity Investments |
| 04/12/01 |
| Letter to The Honorable Richard Shelby Urging Cosponsorship of the Competitive Market Supervision Act (S. 2107) |
| 04/12/01 |
| Request for Temporary Exemption Under Rule 11Ac1-5 |
| 04/09/01 |
| Notice of Filing of Amendment No. 5 to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to its Corporate Financing Rule; File No. SR-NASD-00-04
|
| 04/06/01 |
| Proposed Rule Changes of Self-Regulatory Organizations (Release No. 34-43860; File No. S7-03-01) |
| 04/05/01 |
| Conduct of Business Rules |
| 04/03/01 |
| SIA Letter to the US House of Representatives Urging Support of the Investor and Capital Markets Fee Relief Act of 2001 |
| 03/30/01 |
| ESIGN Study Comment P004102 |
| 03/29/01 |
| Comments in Reponse to Recently Proposed Regulations Under Section 263(g) |
| 03/29/01 |
| Cover Letter - Comments in Response to Recently Proposed Regulations Under Section 263(g) |
| 03/26/01 |
| SIA Letter to The Honorable Michael G. Oxley Urging Support of the Investor and Capital Markets Fee Relief Act of 2001 |
| 03/26/01 |
| SIA Letter to The Honorable John J. LaFalce Urging Support of the Investor and Capital Markets Fee Relief Act of 2001 |
| 03/20/01 |
| Comment Letter on Para. 35.d(I) of FASB Statement No. 140 |
| 03/16/01 |
| UCC Article 9 |
| 03/16/01 |
| Industry Experience with the Market Risk Disclosure Rule
|
| 03/14/01 |
| SIA Letter to The Honorable Daniel K. Akaka Urging Support of the Competitive Market Supervision act of 2001 (S. 143) |
| 03/13/01 |
| Predatory Lending Standards for Secondary Market |
| 03/13/01 |
| Request for Delay in Mandatory Compliance With Title II of the Gramm-Leach-Bliley Act |
| 03/12/01 |
| SIA Letter to The Honorable Thomas A. Daschle Urging Support of the Competitive Market Supervision Act of 2001
|
| 02/28/01 |
| SIA Letter to The Honorable Christopher J. Dodd urging support of the Competitive Market Supervision Act of 2001 (S. 143) |
| 02/21/01 |
| SIA Urges Options Exchange to Implement the SEC Linkage Plan (Rule 11ac1-7) |
| 02/21/01 |
| SIA Urges Options Exchange to implement the SEC linkage plan (Rule 11ac1-7) |
| 02/21/01 |
| SIA Urges Options Exchange to implement the SEC linkage plan (Rule 11ac1-7) |
| 02/21/01 |
| SIA Urges Options Exchange to implement the SEC linkage plan (Rule 11ac1-7) |
| 02/20/01 |
| FDIC Guidance Regarding Predatory Mortgage Loans |
| 02/20/01 |
| SEC Rule 11ac1-7: Trade Through Disclosure Rule for Options |
| 02/16/01 |
T+1 Steering Committee Review of Existing Rules to Address Prior to Implementing Next Business Day Settlement
|
| 02/16/01 |
| Proposal and Interim Rule Regarding Activities of Financial Holding Companies, Docket Nos. R-1092, R-1094 |
| 02/15/01 |
| Proposed Amendments to Rule 10f-3 under the Investment Company Act with Respect to Government Securities Offerings (Release No. IC-24775, File No. S7-20-00)
|
| 01/30/01 |
| Final Rule Governing Merchant Banking Activities |
| 01/29/01 |
| Risk-Based Capital Standards; Claims on Securities Firms |
| 01/26/01 |
| AICPA Comment Letter |
| 01/26/01 |
| FASB Statement 140 |
| 01/19/01 |
| Interim Rule Amending Market Risk Rules (Federal Reserve Docket No. R-1087, OCC Docket No. 00-28) |
| 01/20/01 |
| Supplemental Comment Letter To MSRB |
| 01/19/01 |
| Interim Rule for Risk-Based Capital Guidelines in Securities Borrowing Transactions |
| 01/09/01 |
| File No. SR-NASD-99-60; Restrictions on the Purchase and Sale of Initial Equity Public Offerings |
| 01/03/01 |
| Comment on Initiative Focusing on Employer-Sponsored Retirement Plan Expenses |
| 01/02/01 |
| Response to FESCO Consultation Paper |
