*Letters

ISE Proposed Registration & Qualification Requirements

Published on:
January 19, 2011

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the International Securities Exchange, LLC (ISE) proposal that would expand its rules regarding qualification, registration, and continuing education of individual associated persons to include additional types of individual associated persons, as well as to introduce a new options trader examination, Release No. 34-63554; File No. SR-ISE-2010-115.

SIFMA understands the need for appropriate qualification, registration and continuing education requirements for individuals engaged in the securities business of its member firms and supports closing gaps in such requirements.  SIFMA believes that the scope of the ISE proposed registration requirements is unclear and there remains much uncertainty among Trading Permit Holders (TPHs) and member firms about their application.

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