*Letters

SIA Submits Comments to the SEC on Capital Requirements for Broker-Dealers Affiliated with Consolidated Supervised Entities

Published on:
March 5, 2004

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on a proposed rule on alternative net capital requirements for broker-dealers that are part of consolidated supervised entities (CSEs), Release No. 34-48690; File No. S7-21-03.

*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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