*Letters

SIA Submits Comments to the SEC on Client Commission Practices

Published on:
December 1, 2005

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC)on guidance proposed by the SEC relating to client commission practices under Section 28(e) of the Securities Exchange Act of 1934, Release No. 34-52635, File No. S7-09-05. SIA makes recommendations on the guidance including comments on: 1) the safe harbor eligibility under Section 28(c); 2) the proposed temporal standard; 3) cross-border harmonization; and 4) implementation.

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

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