Regulatory Coordination / Consolidation
Comment Letters
Paper
Press Releases
Testimony
Letters & Comment Letters
- Independent Firms Committee Strongly Endorses SRO Consolidation- pdf, December 21, 2006
- Regional Firms Committee UNANIMOUSLY Endorses NYSE/NASD Regulatory Consolidation - pdf December 20, 2006
- Small Firms Committee Endorses NYSE/NASD Regulatory Consolidation - pdf, December 12, 2006
- SIA Comment Letter to the SEC Raising Concerns About NASDAQ Application Regarding Business Ventures, and Requesting an Extension of the Comment Period on this Rule Proposal - pdf 5.0, May 19, 2006
- Letter to IOSCO Re: Public Comment on Regulatory Issues Arising from Exchange Evolution - pdf 5.0, June 2, 2006
- SIA Comment Letter on SRO Structural Reform - pdf 5.0, March 9, 2005
- SIA Comment Letter on Regulatory Inconsistencies and Consolidated Examinations - pdf 5.0, August 19, 2002
Papers
Press Releases
- U.S. Regulatory Structure Needs Reform, Says SIFMA - November 21, 2007
- SEC’s Approval of NASD-NYSE Regulation Merger Is Good for Investors, Markets -
July 27, 2006
- Single SRO Should Adopt Principles-Based Rulebook for Regulation
May 17, 2007
- SIFMA Praises Approval of SRO Consolidation
January 21, 2007
- Mary Schapiro Webcast - Chairman and CEO Mary Schapiro talks about regulatory consolidation - January 3, 2007
- NYSE/NASD Regulatory Merger Endorsed By SIFMA
November 28, 2006
- Industry’s Self-Regulating Organizations Need Reform SIA Tells Banking Committee - March 9, 2006
- Goals and Principles that Should Underlie SRO Restructuring - Jan 25, 2006
- SIA Outlines Views On SRO Reform, Reg NMS For Senate Banking Committee - May 18, 2005
Testimony
- Testimony of SIFMA President and CEO Marc Lackritz before the US Senate Committee on Banking, Housing and Urban Affairs, Subcommittee on Securities, Insurance and Investments Hearing: Consolidation of NASD and the Regulatory Functions of NYSE - Working Towards Improved Regulation - May 17, 2007 (pdf)
- Senate Testimony of Marc Lackritz, President, SIA, Before the Committee On Banking, Housing And Urban Affairs, “A Review Of Self-Regulatory Organizations In The Securities Markets” - March 9, 2006
- Testimony of Ben A. Plotkin, Chairman and CEO, Ryan Beck & Co. and of the SIA Regional Firms Committee, on “Self-Regulatory Organizations: Exploring the Need for Reform” - November 17, 2005
- Testimony Of Marc E. Lackritz, President, Securities Industry Association Before The Subcommittee On Capital Markets, Insurance And Government Sponsored Enterprises, "Self-Regulatory Organizations: Exploring The Need For Reform" - November 17, 2005
- Testimony of Marc Lackritz before the Senate, "Regulation NMS and Recent Market Developments," - May 18, 2005
