SIA Submits Supplemental Comments to the SEC on Electronic Filing by Investment Advisors and Form ADV
Published on:
August 28, 2001
The Securities Industry Association (SIA)* provides supplemental comments to the Securities and Exchange Commission (SEC)on electronic filing by investment advisers and proposed amendments to Form ADV, IA-1862; File No. S7-10-00. SIA does not believe that certain recommendations should be adopted, and reiterates its position that the brochure supplement, stickering and mandatory delivery requirements should be eliminated. SIA previously filed comments with the SEC on the proposal in June 2000.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.