*Letters

Filing Requirements for Investment Company Literature

Published on:
July 1, 1998

The Investment Company Committee of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission (SEC) on a proposed amendment to National Association of Securities Dealers, Inc. (NASD) Conduct Rule 2210, Securities Exchange Act Release No. 34-40074; File No. SR-NASD-98-32.  The proposal would exclude independent research reports from the filing requirements applicable to investment company advertisements and sales literature, provided certain conditions are met.  SIA believes that the elimination of filing requirements with respect to independent research would mitigate an adverse impact on the quality and timeliness of the review process.

*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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