| In response to a request by the SIA, the US Department of Labor issued an opinion letter, concluding that securities industry employees who perform the duties of a registered representative (also known as a financial advisor, financial consultant, or stockbroker) are exempt from federal overtime requirements. In the letter, DOL addressed both the duties and salary basis components of the "administrative" exemption. |
11-27-06 |
| SIA request to SEC requesting exemption on Contingent Trades From Rule 611(a) of Regulation NMS Under the Exchange Act of 1934 |
6-21-06 |
| SEC Response Granting Exemption on Contingent Trades From Rule 611(a) of Regulation NMS Under the Exchange Act of 1934 |
8-31-06 |
| SIA Request to SEC requesting exemption permitting immediate marging of money market fund shares held through cash sweep programs |
6-5-06 |
| SEC Response Granting Exemption permitting immediate marging of money market fund shares held through cash sweep programs |
6-8-06 |
| Request for Exemptive Relief from Rule 10a-1 for Transactions Executed on a Riskless Principal Basis |
7-18-05 |
| Investment Company Committee of the SIA Requests an Exemption from Section 11(d)(1) of the 1934 Act so that Brokers and Dealers can Extend to their Customers Immediate Margin on Newly Purchased Shares of Money Market Funds |
3/7/03 |
| SIA Request for Temporary Exemption Under Rule 11Ac16 |
9/20/01 |
| SIA Request for Temporary Exemption Under Rule 11Ac15 |
4/11/01 |
| SIA Letter on Behalf of its Member Firms in Regard to the Reporting Requirements under Rule 11Ac15 |
2/28/01 |
| SIA Request for Relief Regarding NASD Resignation Requirements |
08/09/00 |
| NASD lnterpretive letter - Rule 1070 - Qualification Examinations and Waiver of Requirements |
10/27/00 |
| Scope of Eligible Securities to be Included in Possible Active Cross-Trading Exemption from ERISA Section 406(b)(2) |
07/17/00 |
| Joint Submission in Support of Active Cross-Trading Exemption from Section 406(b)(2) of ERISA |
07/10/00 |
| Passive Cross Trading Exemption |
02/14/00 |
| Prohibited Transaction Class Exemption Application |
10-29-99 |
| SIA/MMI Request for Exemption From the Confirmation Delivery Requirements of Rule 10b-10 |
08-18-99 |
| SEC Grants SIA/MMI Exemption From the Confirmation Delivery Requirements of Rule 10b-10 |
08-23-99 |
| Prohibited Transaction Class Exemption Application Request to Exempt Certain Principal Transactions from Transaction - Specific Disclosure and Consent Provisions of Section 206 (3) of the Investment Advisers Act of 1940 |
02-26-98 |
