SIA and TBMA Submit Comments to the SEC on Books and Records Requirements for Brokers and Dealers
Published on:
December 16, 1998
The Securities Industry Association (SIA)* and The Bond Market Association (TBMA)* provide comments to the Securities and Exchange Commission (SEC) on reproposed amendmentsbooks and records requirements for brokers and dealers under the Securities Exchange Act of 1934, Securities Exchange Act Release No. 34-40518. The associations believe that in several key areas the proposal does not reflect a morebalanced approach tobooks and record requirements than previously in place.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.