*Letters

SIA Submits Comments to the SEC on a Proposed Amendment to the Order Audit Trail System

Published on:
July 26, 2005

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC)onthe National Association of Securities Dealers, Inc. (NASD) proposal to implement Phase 3of the Order Audit Trail System (OATS). SIA observes that some firms will continue to transmit orders manually and additional system changes will be required to integrate different platforms into a single system to comply with the proposed dual reporting requirements of OATS Phase 3.

*SIFMA is the product of the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

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