*Letters

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.

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.