*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.

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