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SIA Submits Comments to the SEC on a Self-Regulatory Organization Governance and Transparency Proposal

Summary

The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on the SEC’s self-regulatory organization governance and transparency proposal and the SEC’s concept release concerning self-regulation, File No. S7-39-04; File No. S7-40-04.  SIA offers observations and recommendations on the complex issues of self-regulation.

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

PDF

Date

9

March

2005

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