*Letters

Regulatory Relief Needed in the Event of a Pandemic

Published on:
September 15, 2006

The Securities Industry Association (SIA)* and The Bond Market Association (TBMA)* provides comments to the National Association of Securities Dealers, Inc (NASD) on regulatory relief that might be necessary in a pandemic to enable securities firms to continue doing business.  Previously, the Associations developed business continuity plans to address floods, electrical blackouts and terrorism, that would primarily affect broker-dealers’ buildings and systems. The Associations shares their expertise to address a pandemic that would leave the firms’ buildings and systems intact, but could affect the health of the firms’ employees, as well as those of the customers.

*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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