*Letters

SIA Submits Comments to the NASD on Pre-Use Filing of Advertisements and Sales Literature

Published on:
May 27, 2005

The Securities Industry Association (SIA)*providescomments to the National Association of Securities Dealers, Inc. (NASD) on a proposal to amend the NASD’s advertising rules to require NASD members to file with NASD certain additional categories of advertisements and sales literature prior to first use, NASD Notice to Members 05-25. SIA believes the proposal is unnecessary, overbroad, and resource insufficient.

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

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