SEC Study Regarding Registering Securities Professionals
Published on:
June 19, 1997
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on the SEC study of the disparate state licensing requirements for associated persons of broker-dealers and methods by which states achieve greater uniformity in registering securities professionals. SIA offers a narrative discussion of the benefits and problems the SIA perceives in the current scheme of state registration requirements for broker-dealer agents.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.