Improving the Waiver Process and Rules Governing Certain Disqualifications Under the Federal Securities Laws
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that it take necessary steps to improve the…
Letters
SIA Submits Additional Comments to the SEC on Limitations on Affiliate Marketing (Regulation S-AM)
Summary
The Securities Industry Association (‘SIA”)* submits additional comments the Securities and Exchange Commission (SEC) on limitations on affiliate marketing (Regulation S-AM). (File No. S7-29-04). SIA previously commented on File No. S7-29-04 on August 13, 2004.
*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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