*Letters

Certain Practices for Debt Securities other than Municipal Securities

Published on:
December 14, 1998
Committee:

The Federal Regulation and Self-Regulation Committees of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission on the National Association of Securities Dealers, Inc. (NASD) proposed guidance (Rule IM-2440-2) on mark-up and mark-down practices for debt securities other than municipal securities, File No. SR-NASD-97-61.  SIA offers important modifications to improve the proposal.

*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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