*Letters

SIA Submits Comments to the SEC on Proposed Revisions Books and Records Rules

Published on:
August 6, 1998

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on possible revisions to the SEC’s books and records proposals (Exchange Act Rules 17a-3 and 17a-4). SIA continues to question the need for sweeping books and records reforms, particularly when the prospective investor protection benefits of extensive changes to the current regulatory regime are contrasted with the costs and administrative burdens associated with their implementation.
*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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