*Letters

NASD Proposal Relating to the Gifts and Business Entertain Policy

Published on:
July 17, 2006

The Bond Market Association (TBMA)* provides comments to the Securities and Exchange Commission (SEC) on a proposal rule change to adopt National Association of Securities Dealers, Inc. (NASD) IM-3060 – Gifts and Business Entertain Policy, File No. SR-NASD-2006-44.  TBMA supports a principles-based approach to the establishment of limits on business entertainment is the appropriate regulatory approach to dealing with this important issue.  TBMA believes its recommended modifications to the proposal would improve and enhance the efficiency and effectiveness of the proposal.

*SIFMA is a product of the merger between the Securities Industry Association (SIA) and the Bond Market Association (TBMA) in 2006.

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