*Letters

SIA Submits Comments to the Kansas Securities Commission on the Investment Adviser Representatives Continuing Education Requirements

Published on:
October 21, 2002

The Securities Industry Association (SIA)* provides comments to the Kansas Securities Commission on determining is a continuing education (CE) requirement should be established for investment adviser representatives (IARs). SIA has long been in the forefront of promoting and facilitating continuing education programs for individuals involved in the offering of financial services and products to the investing public. SIA respectfully suggests that there is no need to impose additional CE requirements on individuals licensed as both registered representatives and investment adviser representatives, since they are already subject to an extensive continuing education regimen under New York Stock Exchange (NYSE) andNational Association of Securities Dealers, Inc. (NASD).

*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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