*Letters

SEC Financial Responsibility Rules for Broker-Dealers

Published on:
June 15, 2007

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the SEC’s proposed amendments to financial responsibility rules for broker-dealers under the Securities Exchange Act of 1934 (Exchange Act), Release No. 34-55431, File No. S7-08-07.  SIFMA believes that certain amendments would impose requirements whose costs are not adequately justified by their benefits, and other amendments should be more narrowly tailored to address the specific concerns expressed by the Commission in its proposal.

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