• Industry Priorities

• Regulatory Coordination

  • Background
  • SIA Resources
  • Related Links

SIFMA Home > Industry Priorities > Regulatory Coordination

Regulatory Coordination / Consolidation

RELATED LINKS

ICI

• Investment Company Institute (ICI) - NEW!

FSI

• Financial Services Institute (FSI) - pdf, NEW!

GAO

• GAO Report on SRO duplication - pdf, May 2002

NAIBD

• National Association of Independent Broker Dealers (NAIBD) pdf, - NEW!

NASAA

• North American Securities Administrators Association (NASAA) - NEW!

NYSE

• Speech by Richard G. Ketchum, Chief Regulatory Officer, New York Stock Exchange, to SIA Compliance and Legal Division Annual Seminar - April 4, 2005
• Speech by Mary Schapiro, Vice Chairman and President, Regulatory Policy and Oversight, SIA Compliance and Legal Division Annual Seminar - April 4, 2005

SEC

• SEC’s Nazareth Remarks on SRO Consolidation – NEW!
• SEC Concept Release on SRO reform - March 8, 2005