*Letters

SIA and TBMA Submit Comments to the SEC on Proposed Officer Certification Requirements

Published on:
February 6, 2004

The Securities Industry Association (SIA)* Legal Compliance Divisionand The Bond Market Association (TBMA)* submit comments to the Securities and Exchange Commission (SEC)on proposed chief compliance officer and chief executive officer certification requirements. (Release No.34-48981; File No. SR-NASD-2003-176)

*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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