*Letters

SIA Submits Comments to the SEC on a Proposal Relating to Research Analyst Conflicts of Interest

Published on:
March 10, 2003

The Securities Industry Association (SIA)* provides comments to the Securities Exchange Commission (SEC) on a proposal relating to research analyst conflicts of interest, File Nos. SR-NYSE-2002-49 and SR-NASD-2002-154. SIA suggests a single SEC rule to replace the two sets of New York Stock Exchange (NYSE) and National Association of Securities Dealers (NASD) (collectively the SROs) rules. Such a rule would make a single regulator accountable for the efficacy of its rule. It would also avoid the complications and unintended consequences that arise whentwo sets of regulators try to apply two sets of similar but distinct rules to the same subject.

*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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