*Letters

SIA Submits Comments to the SEC on Customer Account Statements

Published on:
March 9, 2005

The Self Regulation and Supervisory Practices Committee of the Securities Industry Association (SIA)* providescomments to the Securities and Exchange Commission (SEC) on amendments to National Association of Securities Dealers, Inc.(NASD) Rule 2340 that would require that customer account statements include a statement that advises each customer to promptly report any inaccuracy or discrepancy in that person’s account to his or her brokerage firm and clearing firm (if different) and re-confirm any oral communications in writing.

*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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