SIA RESOURCES
Comment Letters
Paper
Press Releases
Testimony
Letters & Comment Letters
- Independent Firms Committee Strongly Endorses SRO Consolidation - pdf, December 21, 2006
- Regional Firms Committee UNANIMOUSLY Endorses NYSE/NASD Regulatory Consolidation - pdf December 20, 2006
- Small Firms Committee Endorses NYSE/NASD Regulatory Consolidation - pdf, December 12, 2006
- SIA Comment Letter to the SEC Raising Concerns About NASDAQ Application Regarding Business Ventures, and Requesting an Extension of the Comment Period on this Rule Proposal - pdf 5.0, May 19, 2006
- Letter to IOSCO Re: Public Comment on Regulatory Issues Arising from Exchange Evolution - pdf 5.0, June 2, 2006
- SIA Comment Letter on SRO Structural Reform - pdf 5.0, March 9, 2005
- SIA Comment Letter on Regulatory Inconsistencies and Consolidated Examinations - pdf 5.0, August 19, 2002
Papers
Press Releases
Testimony
- Senate Testimony of Marc Lackritz, President, SIA, Before the Committee On Banking, Housing And Urban Affairs, “A Review Of Self-Regulatory Organizations In The Securities Markets” - March 9, 2006
- Testimony of Ben A. Plotkin, Chairman and CEO, Ryan Beck & Co. and of the SIA Regional Firms Committee, on “Self-Regulatory Organizations: Exploring the Need for Reform” - November 17, 2005
- Testimony Of Marc E. Lackritz, President, Securities Industry Association Before The Subcommittee On Capital Markets, Insurance And Government Sponsored Enterprises, "Self-Regulatory Organizations: Exploring The Need For Reform" - November 17, 2005
- Testimony of Marc Lackritz before the Senate, "Regulation NMS and Recent Market Developments," - May 18, 2005
