*Letters

Certain Disclosures to Customers, , NASDR Notice to Members 97-29

Published on:
July 2, 1997

The Self-Regulation and Supervisory Practices Committee of the Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers Regulation, Inc (NASDR) on the appropriateness of adopting a rule requiring member firms that sell both FDIC-insured and uninsured securities products to make certain disclosures to customers, NASDR Notice to Members 97-29.  SIA strongly opposes adoption of the rule.

*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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