SIA Submits Comments to the NASDR on Communications with the Public
Published on:
August 22, 2001
The Federal Regulation Committee and the Legal and Compliance Division of the Securities Industry Association (SIA)* provide comments to the National Association of Securities DealersRegulation, Inc. (NASDR) on a proposed amendment to Rule 2210,Communications with the Public, Notice to NASD Members 01-45. SIA supports enhanced disclosure to investors of information relating to potential conflicts of interest that securities analysts may face. SIA shares concerns that without some refinements, some of the proposals might exacerbate potential conflicts rather than awareness.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.