*Letters

SIA and TBMA Submit Preliminary Comments to the SEC on Standards of Professional Conduct for Attorneys

Published on:
September 18, 2002

The Securities Industry Association (SIA)* and The Bond Market Association (TBMA)*providea first set ofcomments to the Securities and Exchange Commission(SEC) on aproposed rule on implementation of standards of professional conduct for attorneys, Release Nos. 33-8150; 34-46868; IC 25829; File No. S7-45-02. Given the complexity of the issue, notably the “reporting out” provision and the application proposal to foreign attorneys, the groups urge the SEC, at this juncture, to adopt only such rules as the Sarbanes-Oxley Act of 2002 specifically requires.

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

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