*Letters

SIA Submits Comments to the SEC on Chief Executive Officer Certification

Published on:
September 12, 2005

The Self Regulation and Supervisory Practices Committee of the Securities Industry Association (SIA)*provides comments to the Securities and Exchange Commission (SEC)on proposed changes to New York Stock Exchange (NYSE) Rule 342 requiring chief executive officer certification. While generally supporting the proposal, SIAbelieves certain modifications could be made to avoid unnecessary confusion and differing regulatory standards.

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

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