SIA Submits Comments to the SEC on Proposed Rule Changes Relating to Research Analysts Conflicts of Interest
Published on:
May 9, 2003
The Securities Industry Association (SIA)* comments to the Securities and Exchange Commission (SEC) onproposed rule changesrelating to research analysts conflicts of interestby the New York Stock Exchange (NYSE) and the National Association of Securities Dealers (NASD). The additionalcomments contain language that is easier to understand or to apply than the requirements of the current or proposed SRO rules. SIA hopes that the proposed supplements and suggestions will result in a more workable set of rules that will help to improve public trust and confidence in research analysts.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TMBA)in 2006.