*Letters

SIA Submits Comments to the SEC on Certain Broker-Dealers Deemed Not to be Investment Advisors

Published on:
September 22, 2004

The Securities Industry Association (SIA)*provides comments tothe Securities and Exchange Commission (SEC) oncertain broker-dealers deemed not to be investment advisors, Release No. IA-2278; File No. S7-25-2.

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

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