*Letters

SIA Submits Comments to the SEC on the Modernization of the Securities Exchange Act Rule 17a-4

Published on:
April 7, 2006

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC)on the modernization ofRule 17a-4 under the Securities Exchange Act of 1934 (Exchange Act). SIA requests the SEC takes the necessary stepsmodernize the record retention requirements, particularly Rule 17a-4(b)(4) and 17a-4(f) under the Exchange Act, to meet broker-dealers’ current and future technological needs and demands.

*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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