*Letters

NYSE Proposed Notification for Fees

Published on:
August 23, 2007

SIFMA provides comments to the Securities and Exchange Commission (SEC) on a New York Stock Exchange (NYSE) proposed Rule 405B that would require member organizations provide their customers written notification of all fees relating to their customers’ accounts, as well as require that fees be reasonable and not unfairly discriminate between customers. Release No. 34-55745, File No. SR-NASD-2007-30.  SIFMA details five issues that need to be addressed in the proposal, including: 1) the definitions for the terms “customer” and “fees;” 2) disclosure of charges for related services; and 3) the delivery of the notice of fees.

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