*Letters

NASD Regulation of Payment and Receipt of Cash Compensation Incentives

Published on:
October 15, 1997

The Investment Company Committee of the Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers (NASD) Regulation, Inc. relating to the regulation of payment and receipt of cash compensation for the sale and distribution of investment company securities, NASD Notice to Members 97-50. SIA notes there has been no evidence of wide-spread abuses regarding cash compensation in connection with the sale of securities, including investment company securities.

*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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