*Letters

SIA Submits Comments to the SEC on Reporting Requirements to Over-the-Counter Equities Futures

Published on:
December 2, 2005

The Self-Regulation and Supervisory Practices Committee of the Securities Industry Association (SIA)providescomments to the Securities and Exchange Commission (SEC)on the proposed rule that would extend the National Association of Securities Dealers (NASD) Order Audit Trail System (OATS) reporting requirementsto over-the-counter equities futures. The Committee shares concerns, including, the timing of the OATS changes and the technology requirements; and the scope of the definition of OTC securities.

*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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