*Letters

SIA Submits Comments to the SEC on Certification Requirements of the Listed Company Manual

Published on:
June 4, 2002

The Operations Committee of the Securities Industry Association(SIA)* provides comments to theSecurities and Exchange Commission (SEC) on aNew York Stock Exchange (NYSE)rule filing, SR-NYSE-2001-33. The NYSE’s proposal would amend the certification requirements of the listed company manual by authorizing issuers to issue non-certificated equities as long as they are eligible for participation in The Depository Trust & Clearing Company’s (DTCC’s) Direct Registration System program (DRS). SIA shares its view on 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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