SIA Submits Comments to the SEC on the NASD and NYSE Proposals on Research Analyst Conflicts of Interest
Published on:
March 15, 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 SR-NYSE-2002-09. SIA notes that the proposals, while seeking to address the same issue, diverge in several respects, and contain ambiguities that will require clarification.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.