*Letters

SIA Submits Comments to the SEC on the Public Disclosure Program

Published on:
July 27, 2005

The Securities Industry Association (SIA)*provides comments to the Securities and Exchange Commission (SEC)on the amendments proposed by the National Association ofSecurities Dealers (NASD) relating to the release of information through thepublic disclosure program, File No. SR-NASD-2003-168. SIA shares its concerns over the proposed release of information under the rule, specifically “Historic Complaints.” SIA believes the changes would result in significant inequities to registered persons, as well as, confuse investors. SIA includes recommendations as alternatives to the proposal as written.

*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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