*Letters

SIA Submits Comments to the SEC on the Designation of Certain Broker-Dealers as Investment Advisers

Published on:
February 14, 2002

The Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission (SEC) on proposed Rule 202(a)(11)-1related to deeming certain broker-dealers not to be investment advisers, File No. S7-25-99. SIA offers their views and recommendations regarding the proposal.

*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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