*Letters

SIA Submits Comments to the SEC on Order Tracking

Published on:
April 26, 2002

The Ad-hoc OATS/OTS Committee of the Securities Industry Association (SIA)* provides comments to theSecurities and Exchange Commission (SEC) on proposed amendments to New York Stock Exchange, Inc. (NYSE) Rules 123 and 132 creating new requirements for order tracking, File No. SR-NYSE-99-51. SIA believes it is questionable whether the SEC could make the required statutory conclusion that this self-regulatory organization (SRO) rule promotes efficiency, competition, and capital formation. SIA urges the SEC and the NYSE to reconsider the proposal.

*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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