SIA Submits Comments to the SEC on NASD and NYSE Proposals Relating to Anti-Money Laundering Compliance
Published on:
March 18, 2002
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on proposed changes by the National Association of Securities Dealers, Inc. (NASD) and New York Stock Exchange, Inc. (NYSE) relating to anti-money laundering compliance programs, File No. SR–NASD 2002-24, File No. NASD-2002-10. SIA supports the proposed rules, but requests further clarification on certain requirements imposed by the rules.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.