SIA Submits Supplemental Comments to the SEC on Professional Conduct Standards for Attorneys
Published on:
December 20, 2002
The Federal Regulation Committee (Committee)and the Compliance and Legal Division (Division)of the Securities Industry Association (SIA)* provide comments to theSecurities and Exchange Commission(SEC) on the proposed rule on theimplementation of standards of professional conduct for attorneys, Release Nos. 33-8150; 34-46868; IC 25829; File No. S7-45-02. The Committee and the Division urges the SEC to decide-and tostate clearly-that the proposal applies to regulated entities only to the extent that they are public issuers.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.