*Letters

SIA Submits Comments to the NASD and the NYSE on Research Analyst Objectivity

Published on:
August 4, 2005

The Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers, Inc. (NASD) and the New York Stock Exchange, Inc.(NYSE)on research analyst objectivity, NASD Rule 2711 and NYSE Rule 472. SIA supports the need for regulatory action surrounding research analyst objectivity, and offers its observations and recommendations to improve the respective rulesto addressrequirements that are ineffective, vague, or burdensome.

*SIFMA is the product of the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.