*Letters

SIA Submits Comments to the SEC on the Proposal Relating to the Trading Activity Fee

Published on:
November 16, 2005

The Operations Committee of the Securities Industry Association (SIA)*provides comments to the Securities and Exchange Commission (SEC)on the National Association of Securities Dealers (NASD) proposal relating to a possible realignment ofthe Trading Activity Fee (TAF), NASD Notice To Members 05-61. SIA believes the realignment of the TAF will not necessarily resolve an inherent problem of the fee, the inequitable distribution of the fee over a wider group of NASD members.

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

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

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