*Letters

SIA Submits Comments to the SEC Requesting a Temporary Exemption for Certain Reporting Requirements

Published on:
April 11, 2001
Issue:

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission(SEC) requesting a temporary exemption until July 31, 2001 from the reporting requirementsunder paragraph (b)(1) ofRule 11Ac1-5 under the Securities Exchange Act of 1934 to any broker-dealer with a reporting obligation as a market center under the Rule that does not fall within the temporary exemption recently granted by the SEC to smaller Nasdaq market centers.

SIA believes that an exemption similar to that granted smaller Nasdaq market centers should be granted to all other market centers that trade national market system securities, including larger Nasdaq market centers trading Nasdaq-listed equity securities and market centers trading exchange-listed equity securities.

*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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