*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.

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