Point of Sale Disclosure Requirements
Published on:
April 12, 2004
Committee:
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on confirmation requirements and point of sale disclosure requirements for transactions in certain mutual funds and other securities, File No. S7-06-04.
*SIFMA is a product of the merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.