*Letters

SIA Submits Comments to the SEC on the Distinction between Broker-Dealers and Investment Advisers

Published on:
September 13, 2002

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) ona proposed rule relating to certain broker-dealers deemed not to be investment advisers, Proposed Rule 202(a) 11-1, File No. S7-25-99. SIA believes that the proposal is consistent with the SEC’s objectives, will not create any regulatory vacuum and is beneficial to the investing public.

*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

Details

Download

More Content

  • Letters
    Oct 22, 2026

    Treasury/IRS Notice 2026-49: Guidance on Section 324 of the SECURE 2.0 Act with Respect to Rollovers

    SIFMA supports modernizing retirement plan rollovers through standardized electronic processes, fraud safeguards and appropriate implementation timelines.
  • Amicus Briefs
    Oct 21, 2026

    In re USD LIBOR Litigation

  • Letters
    Oct 20, 2026

    SEC’s Proposed Rule Regulation Crypto Assets

    SIFMA and SIFMA AMG provide recommendations to the SEC on its proposed crypto asset regulation, addressing regulatory clarity, implementation and investor protection.

Get the latest trends, stats, and research on financial markets and securities.