*Letters

SIA Submits Comments to the SEC on Business Continuity and Contingency Planning

Published on:
October 16, 2003

The Securities Industry Association (SIA)* provides comments to the Securities Exchange Commission (SEC) on business continuity and contingency planning, File No. SR-NASD-2002-108 and SR-NYSE-2002-35. SIA agrees with the National Association of Securities Dealers, Inc.(NASD) and New York Stock Exchange (NYSE) that the requirements of a business continuity plan must be tailored to the size and needs of each individual member firm, but that each plan must at a minimum address certain elements of continuity. SIA wishes to avoid a one-size-fits all approach to business continuity planning. SIA suggests a logical timetable to implement plans for the various entities.

*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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