*Letters

SIA Submits Comments to the SEC on Proposed Delivery Requirements of a Margin Disclosure Statement to Non-Institutional Accounts

Published on:
November 13, 2000

The Self-Regulatory and Supervisory Practices Committee of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission (SEC) on a proposal relating to thedelivery requirements of a margin disclosure statement to non-institutional accounts, File No. SR-NASD-00-51. The proposal would require all member firms to deliver, in a separate document, a margin risk disclosure statement to non-institutional customers prior to, or at the opening of, a margin account. While SIA supports meaningful disclosure of margin risk, it opposes a mandate that elevates such risk disclosure above other regulatory disclosure requirements.
*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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