Guidelines for Transactions Involving Intermediaries
Published on:
March 9, 1998
The Federal Regulation Committee of the Securities Industry Association (SIA)* provides comments to the Financial Markets Lawyer Group of the Federal Reserve Bank of New York on the Guidelines for Transitions Involving Intermediaries. SIA supports the guidelines in their current form.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.