*Letters

SIA Submits Comments to the NASD on the Order Audit Trail System

Published on:
January 20, 2005

The Operations Committee of the Securities Industry Association (SIA)* providescomments to the National Association of Securities Dealers, Inc.(NASD) on proposed changes to the rules relating to the NASD’s Order Audit Trail System (OATS), Notice to Members 04-80. The Operation Committee believes the proposal to expand reporting obligations raise serious operational and competitive concerns.

*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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