*Letters

SIA Submits Comments to the SEC on Research Analysts Conflicts of Interest

Published on:
April 11, 2002

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on the National Association of Securities Dealers, Inc. (NASD)and New York Stock Exchange, Inc. (NYSE)proposals relating to research analyst conflicts of interest, File Nos. SR-NASD-2002-21 and SRNYSE-2002-09. Whilesupporting the objectives of the proposals generally (many of which incorporate SIA’s Best Practices), SIA believes that the current proposals need to be significantly revised in several important respects to provide investors with better and more timely access to information contained in research reports.

*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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