*Letters

SIA Submits Comments to the SEC on Proposals Related to Year 2000 Preparedness Reporting

Published on:
August 7, 1998

The Investment Adviser Committee of the Securities Industry Association (SIA)* provide comments to theSecurities and Exchange Commission (SEC) on a proposed rule relating to reports to be made by certain investment advisers regarding Year 2000 preparedness, File No. S7-20-98. The proposal would adopt a new rule 204-5 under the Investment Advisers Act of 1940, which would require the filing of Year 2000 preparedness reports on a new Form ADV-Y2K by certain investment advisers. SIA believes the SEC should consider simplifying the filing requirement for investment advisers who are dually registered as broker dealers with the SEC under the Securities Exchange Act of 1934.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

Details

Download

More Content

  • Letters
    Oct 22, 2026

    Treasury/IRS Notice 2026-49: Guidance on Section 324 of the SECURE 2.0 Act with Respect to Rollovers

    SIFMA supports modernizing retirement plan rollovers through standardized electronic processes, fraud safeguards and appropriate implementation timelines.
  • Amicus Briefs
    Oct 21, 2026

    In re USD LIBOR Litigation

  • Letters
    Oct 20, 2026

    SEC’s Proposed Rule Regulation Crypto Assets

    SIFMA and SIFMA AMG provide recommendations to the SEC on its proposed crypto asset regulation, addressing regulatory clarity, implementation and investor protection.

Get the latest trends, stats, and research on financial markets and securities.