Proposals Governing Supervision, Review and Record Retention of Correspondence
Published on:
February 7, 1997
The Technology Regulatory Subcommittee, the Federal Regulation Committee, the Self-Regulation and Supervisory Practices Committee and the Compliance and Legal Division of the Securities Industry Association (SIA)* provide comments to the National Association of Securities Dealers Regulation, Inc. (NASDR) on proposed amendments to Conduct Rules 3010 (Supervision) and 3110 (Books and Records), NASD Notice to Members 96-82. SIA strongly supports the proposed rule changes.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.