*Letters

SIA Submits Comments to the NASD on the NASD Best Execution Rule

Published on:
September 9, 2002

The Trading Committee and the Self-Regulation and Supervisory Practices Committee of the Securities Industry Association (SIA)* provide comments to the National Association of Securities Dealers, Inc. (NASD) on proposed amendments to NASD Rule 2320 (Best Execution Rule), NASD Notice to Members 02-40. SIA discusses itsobservations regarding the proposal including the view that clarifying or extending the scope of the duty of Best Execution is unnecessary and inappropriate.

*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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