*Letters

SIA Submits Comments to the SEC on the NASD’s Trading Activity Fee

Published on:
December 9, 2002

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission(SEC) on National Association of Securities Dealers, Inc. (NASD)proposals affecting the recently-adopted Trading Activity Fee (TAF), File Nos. SR-NASD-2002-147 and SR-NASD-2002-148. SIA believes that the SEC and the NASD should reconsider the process for imposing or changing significant fees imposed on self-regulatory organization (SRO) members.

*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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