*Letters

SIA Submits Comments to the SEC on Additional Regulatory Relief Necessary Due to the Damage Caused by Hurricane Katrina

Published on:
September 5, 2005

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC)on additional regulatory reliefthat is necessary due to the damage caused by Hurricane Katrina. SIA requests relief in several areas including: 1) the restoration of damaged or lost records; 2) new employee background checks; 3) auditor independence; and 4) state registration.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA).

Details

Download

More Content

  • Letters
    Oct 22, 2026

    Treasury/IRS Notice 2026-49: Guidance on Section 324 of the SECURE 2.0 Act with Respect to Rollovers

    SIFMA supports modernizing retirement plan rollovers through standardized electronic processes, fraud safeguards and appropriate implementation timelines.
  • Amicus Briefs
    Oct 21, 2026

    In re USD LIBOR Litigation

  • Letters
    Oct 20, 2026

    SEC’s Proposed Rule Regulation Crypto Assets

    SIFMA and SIFMA AMG provide recommendations to the SEC on its proposed crypto asset regulation, addressing regulatory clarity, implementation and investor protection.

Get the latest trends, stats, and research on financial markets and securities.