*Letters

SIA Submits Comments to the NASD on Proposed Changes to NASD’s Regulatory Fee

Published on:
March 8, 2002

The Operations, Trading and Self-Regulation and Supervisory Practices Committees of the Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers, Inc. (NASD) on proposed changes to the NASD’s regulatory fee, Special NASD Notice to Members 02-09. SIA believes that any fee proposal put forward by a self-regulatory organization (SRO) for comment by its members should include a clear presentation of:

  • the financial impact of the proposal compared with thte status quo, including a discussion of the assumptions used to determineing that impact; and
  • the administrative procedures under which the new fees are to be calculated and collected.

*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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