Letters

SIA Submits Comments to SEC on Proposed Changes to NASD Conduct Rule 2830

Summary

The Investment Company Committee of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission (SEC) on proposed amendments to National Association of Securities Dealers, Inc. (NASD) Conduct Rule 2830, Release No. 34-40310, File No. SR-NASD-98-14. SIA offers its observations and recommendations on the proposal.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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