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).