*Letters

SIA Submits Comments to the SEC on Proposals Regarding Electronic Filing by Investment Advisers

Published on:
January 1, 2001

The Investment Adviser Committee of the Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on proposed rules regarding electronic filing by investment advisers (Form ADV/IARD proposal); SEC Release IA-1862, File No. S7-10-00. The proposal would, among other things, provide a framework for electronic filing of Form ADV under the Investment Advisers Act of 1940 by registered investment advisers. SIA’s members, most of whom are dually registered as investment advisers and broker-dealers, support portions of the proposal that will permit them to eliminate duplicative transmissions by linking the Form ADV to the Form BD. SIA offers recommendations in an effort to eliminate even more duplication.
*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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