| 12/10/03 |
| Auction Contingency Plans |
| 12/10/03 |
| SIA Comments to the European System of Central Banks and Committee of European Securities Regulators Regarding Their Consultative Standards Report for Securities Clearing and Settlement Systems in the European Union |
| 12/05/03 |
| SIA Comments to the SEC Regarding the NYSE Proposed Changes to its Governance Structure |
| 12/04/03 |
| SIA Requests the IRS Grant Securities Firms an Extension of the Due Date for Providing 2003 Forms 1099 to Customers |
| 12/04/03 |
| SIA Requests an Extension of the Deadlines in NASD's Directive to Member Firms Regarding Refunds to Customers Who Purchased Class A Shares of Front-End Load Mutual Funds |
| 11/28/03 |
| TBMA/ESF Letter to the European Central Bank on Collateral Framework |
| 11/25/03 |
| Comment Letter on Proposed TRACE Fees |
| 11/24/03 |
| Comments to the FASB on the Exposure Draft of the Proposed Interpretation, Consolidation of Variable Interest Entities a Modification of FIN 46 |
| 11/20/03 |
| ESF Letter to the European Commission on the Capital Adequacy Directive |
| 11/06/03 |
| SIA Comment Letter to the SEC Regarding File Number SR-Amex-2003-81 Relating to Amex Closing Prices and Standard & Poor¿s Proposal to Change Pricing Procedures for the S&P 500 Index |
| 10/31/03 |
| SIA Comments to the Federal Reserve, the FDIC, the OCC, and the Office of Thrift Supervision on the Interagency Guidance on Response Programs for Unauthorized Guidance on Response Programs for Unauthorized Access to Customer Information and Notice |
| 10/31/03 |
| SIA Comments to the SEC Regarding Proposed NASD Rule Changes to Establish Maximum ECN Access Fees in SuperMontage |
| 10/17/03 |
| SIA Comments to the NASD on the Rule Proposal Regarding Compensation for the Sale of Investment Company Securities |
| 10/17/03 |
| SIA Suggests Modifications to the NASD Proposed Rule Change, Which Would Require Heightened Supervision Plans for Associated Persons With a Specified Threshold of Industry/Regulatory-Related Events |
| 10/16/03 |
| SIA Comments to the SEC in Response to the Proposed Rule Filings by the NYSE and the NASD Concerning Business Continuity and Contingency Plans |
| 10/07/03 |
| SIA Comments to the NASD Regarding the Public Disclosure Initiative |
| 10/03/03 |
| SIA Comment Letter to the SEC in Response to the Proposed Rule Filings by the NYSE and NASD, Designed to Enhance Members' Supervisory Control Procedures |
| 10/01/03 |
| SIA Comments to the European Parliament Regarding the Commission's Transparency Obligations Directive, its Objective to Increase Transparency Obligations, and the Impact on Europe's Capital Markets |
| 09/26/03 |
| SIA's Retirement & Savings Committee Comments the IRS on Notice 2003-53 and in Regards to Coverdell ESA Reporting |
| 09/17/03 |
| SIA Comments to the SEC Regarding Proposed Amendments to NASD and MSRB Telemarketing Rules Relating to the National Do Not Call Registry |
| 09/11/03 |
| File No. SR-NASD-2003-95 -- NASD Proposed Change to Rule 10308: Restrictions of Eligibility to Serve as a Public Arbitrator |
| 09/11/03 |
| Comment Letters to MSRB on Real-time Reporting |
| 08/28/03 |
| SIA Comments to the Honorable John W. Snow Regarding U.S. Securities Firm Access to China's Capital Markets |
| 08/18/03 |
| SIA Comment Letter to the IRS Regarding Proposed Regulations on Deemed IRA's |
| 08/05/03 |
| SIA Risk Management Committee Comments on the Third Consultative Paper ("CP 3") on the New Basel Capital Accord ("Basel II") |
| 07/31/03 |
| SIA Comment Letter Re Treasury Department's Notice of Inquiry on the Issues Regarding the Final Patriot Act Identification Rules (Section 326 Notice of Inquiry: Recordkeeping and Identification) |
| 07/30/03 |
| Submission In Response To Advance Notice Regarding Proposed Safe Harbor Under Section 475 |
| 07/28/03 |
| SIA Comments to SEC on Rating Agencies and the Use of Credit Ratings Under Federal Securities Laws |
| 07/18/03 |
| SIA and the Bond Market Association Comment on NASD Special Notice to Members, Specifically Regarding the Proposed CCO and CEO Certification Requirement |
| 07/07/03 |
| SIA Comments in Response to the Recent SEC Hedge Fund Roundtable and Provides Suggestions Regarding the Offering Process for Hedge Funds |
| 06/28/03 |
| Comments on FAS140 Amendments |
| 06/27/03 |
| SIA Comments to SEC on the Important Market Structure and Self-Regulatory Issues Raised in SEC Concept Release on Nasdaq's Petition Regarding the Regulation of Nasdaq-Listed Securities |
| 06/26/03 |
| SIA Comments to the SEC Regarding Amendment No. 2 to Proposed Rule Changes by the NYSE and the NASD Relating to Research Analyst Conflicts of Interest |
| 06/23/03 |
| Preparing FR2004 Reports |
| 06/10/03 |
| TRACE Reporting Period |
| 06/03/03 |
| SIA Comments on the Proposed MSRB Rule Change Relating to Marketing of 529 College Savings Plans in the Workplace |
| 05/19/03 |
| SIA Comments to the IRS Regarding Coverdell ESA Reporting |
| 05/12/03 |
| SIA Comments to the FSA on Consultation Paper 171 Regarding the Issue of Research Independence |
| 05/09/03 |
| SIA Comments to the SEC Regarding NYSE and NASD Proposed Rule Changes Relating to Research Analyst Conflicts of Interest |
| 05/07/03 |
| SIA Comments and Concerns Over Amendments to the Proposed EU Takeover Directive |
| 05/07/03 |
| SIA Comments to SEC on Proposed Interpretive Material Regarding the Use of Investment Analysis Tools |
| 05/02/03 |
| Comment Letter on Financial System Operational Disruption |
| 04/24/03 |
| SIA Strongly Encourages the Governor of Maine to Use the Supplemental Budget Process to Repeal Temporary Legislation |
| 04/24/03 |
| SIA Submits Favorable Comments to the Group of Thirty on "Global Clearing and Settlement: A Plan of Action" |
| 04/24/03 |
| SIA Submits Comments to the SEC Regarding the Amendments to the Proposal by the NYSE to Adopt Rule 446, Concerning Business Continuity Planning |
| 04/21/03 |
| SIA Comments on the Proposed Rule by the Federal Reserve Board and its Specifics to Amend the Board's Regulation Y |
| 04/21/03 |
| Joint Comment Letter Regarding the Notice Issued by FinCEN of the Expiration of a Conditional Exception to Certain Requirements of the Regulations Under the Bank Secrecy Act |
| 04/17/03 |
| SIA Comments on the Rule Proposals and Concept Release Described in the SEC Release Regarding Compliance Programs for Investment Companies |
| 04/15/03 |
| SIA's Comments to Speaker Silver and Supports his Opposition to Tax Raising Proposals Targeting the Securities Industry, Specifically the Stock Transfer Tax |
| 04/15/03 |
| SIA Urges Governor Pataki to Reject Tax Raising Proposals Targeting the Securities Industry, Specifically the Stock Transfer Tax |
| 04/15/03 |
| SIA Urges Senator Bruno to Reject Tax Raising Proposals Targeting the Securities Industry, Specifically the Stock Transfer Tax |
| 04/09/03 |
| SIA Comments To The FASB On Fair Value Measurement Decisions Made To Date |
| 04/07/03 |
| SIA Comments to SEC Regarding the Proposed Rule on Lawyers' Reporting Evidence of Clients' Potential Legal Violations |
| 03/31/03 |
| SIA Comments and Suggestions for Improvement on the Proposed Audit Guide for Investment |
| 03/31/03 |
| SIA and TBMA Comments to the SEC on the Amendments to the Proposal by NASD Concerning Business Continuity Plans and Emergency Contact Information |
| 03/31/03 |
| SIA Comments to SEC on Proposed NASD Rule 2130 Concerning Expungement of Customer Dispute Information from the Central Registration Depository System |
| 03/31/03 |
| SIA Outlines Measures to Strengthen Treasury Enforcement of Economic Sanctions |
| 03/26/03 |
| SIA Comments To The IRS On Proposed And Temporary Regulations With Respect To Tax Reporting For Corporate Inversions And Other Taxable Stock Transactions |
| 03/21/03 |
| Joint European Trade Association Briefing Paper on EU Investment Services Directive 2 |
| 03/20/03 |
| SIA Appreciates Efforts Of The Tax Policy Dividends Exclusion Team Regarding The Proper Treatment Of Dividends Received By Securities Firms With Respect To Securities That Are Inventory Under The President's Dividends Exclusion Proposal |
| 03/17/03 |
| SIA Submits Comments in Response to the Investment Services Directive Proposed by the European Commission |
| 03/11/03 |
| SIA Comments To Tax Policy Dividends Exclusion Team As Supplement To January 31, 2003, Concerning The Administration's Proposal To Eliminate The Double Taxation Of Corporate Earnings |
| 03/10/03 |
| SIA Comments on SRO Analyst Rule Amendments and Addresses Concerns with the Two Sets of SRO Rules That May Result in Weakening Investor Confidence |
| 03/10/03 |
| SIA Comments on the DTC's Proposal to Clarify Rules and Procedures Regarding Requests for Withdrawal of Certificates by Issuers |
| 03/10/03 |
| SIA Comments and Concerns in Response to the Request for Information on the Automatic IRA Rollover Legislation Enacted as Part of the Economic Growth and Tax Relief Reconciliation Act of 2001 |
| 03/07/03 |
| SIA Submits Recommendations to the Treasury for Improvements to the Anti-Money Laundering Provisions Under the USA Patriot Act |
| 02/27/03 |
| SIA Comments in Response to the Proposed Amendments to Rule 10b-18 Under the Securities Exchange Act of 1934 ("Exchange Act") Concerning Issuer Repurchases of Common Stock |
| 02/24/03 |
| SIA Comments to Christine Bruenn, Maine Securities Administrator and NASAA President, Regarding the Uniform Securities Act |
| 02/24/03 |
| Joint Letter of Support for Continuation of Uniform National Standards for the Treatment of Customer Information |
| 02/21/03 |
| SIA Comments to the SEC Regarding the Record Storage Rule and its Inadequate and Inefficient Technical Requirements |
| 02/20/03 |
| Comments from the SIA Opposing Assembly Bill 3216, Prohibiting the Disclosure of a Customer¿s Financial Information |
| 02/14/03 |
| Investment Company Committee of the SIA Comments on Commission Proposals Regarding Disclosure of Portfolio Holdings and Fees of Registered Investment Companies (Release No. IC-25870, File No. S7-51-02) |
| 02/10/03 |
| NYSE Proposes Fee Increases With Inadequate Time for Firms to Provide Input |
| 01/31/03 |
| Association Raises Concerns About Proposed Regulation of Alternative Trading Systems in Europe |
| 01/31/03 |
| SIA Comments To The Treasury's Tax Policy Dividends Exclusion Team Supporting The Elimination Of The Double Taxation Of Corporate Earnings |
| 01/27/03 |
| Notice of Designation of Nauru and Ukraine as Primary Money Laundering Concerns |
| 01/24/03 |
| New Temporary and Proposed Regulations Relating to Disclosure and Listing of Tax Shelter Transactions |
| 01/24/03 |
| NASD Proposed Rule Change Relating to Filing Copies of Customer Complaints -- SR-NASD-2002-112 |
| 01/13/03 |
| ESF Letter to the Basel Committee on Banking Supervision |
| 01/10/03 |
| MSRB Draft Interpretive Notice on Marketing of 529 College Savings Plan Employees Payroll Deduction Program |
| 01/10/03 |
| Proposed Rules Relating to Credit by Brokers and Dealers; Security Futures, 67 Fed. Reg. 62,214 (October 4, 2002); Docket No. R-1131 |
| 01/09/03 |
| SIA Outlines International Legislative Tax Issues Important to Member Firms |
| 01/09/03 |
| Proposed Rule on Broker-Dealer Exemption from Sending Certain Financial Information to Customers, File No. S7-48-02 |
| 01/06/03 |
| NASD Notice to Members 02-74 - Comment on Proposed Public Information Review Initiative |
