*Letters

Changes in Ethics Provisions Required by the Delaware Securities Act

Published on:
June 22, 2011

SIFMA provides comments to the Delaware Division of Securities on the Notice of Proposed Revision to the rules and regulations pursuant to the Delaware Securities Act (the Act).  SIFMA notes there are substantial and non-uniform changes in the proposal to Sections 609 and 709 with respect to “dishonest or unethical practices,” and recommends forgoing the changes.

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