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SIA RESOURCES
Comment Letters & Communications to Regulators
Op Ed
SEC, SRO Rules & Guidance
SIA Communications to Members
SIA Publications & Press Releases
Comment Letters & Communications to Regulators
- Comments to SEC on Analyst Codification Filing Re: File Nos. SR-NYSE-2006-77 and SR-NASD-2006-112; Proposed Changes Relating to NYSE Rule 472 and NASD Rule 2711 - pdf, 11/14/06
- SIA Comments To The SEC On Proposal By The NYSE And Relating To Efforts Of The NYSE And The NASD To Harmonize Similar Rules Regarding Research Analysts And Separate Comments On Chairman Donaldson's Remarks On Issuer Retaliation - pdf 5.0, 05/11/05
- SIA Issues Recommendations to the SEC for Uniform Analyst Conflict of Interest Rules – pdf 5.0, December 8, 2003
- Memo to SRO's Requesting Interpretive Guidance on Analyst Rules - November 14, 2003
- SIA Comments To The SEC Regarding Amendment No. 2 To Proposed Rule Changes By The NYSE And The NASD Relating To Research Analyst Conflicts Of Interest - pdf 5.0 - June 26, 2003
- SIA Comments To The FSA On Consultation Paper 171 Regarding The Issue Of Research Independence - pdf 5.0 -
May 12, 2003
- SIA Comments To The SEC Regarding NYSE And NASD Proposed Rule Changes Relating To Research Analyst Conflicts Of Interest - pdf 5.0 - May 9, 2003
- SIA Comments On SRO Analyst Rule Amendments And Addresses Concerns With The Two Sets Of SRO Rules That May Result In Weakening Investor Confidence - pdf 5.0 -
March 10, 2003
- SIA Comments On Proposed Regulation Analyst Certification, File No. S7-30-02, Release Nos. 33-8119 and 34-46301 - pdf 5.0 - September 23, 2002
- SIA Comments Regarding NASD Notice to Members 02-44, Application of Rule 2711 to Small Firms - pdf 4.0
- SIA Comments Regarding National Association of Securities Dealers and New York Stock Exchange Proposals Relating to Research Analysts Conflicts of Interest, File Nos. SR-NASD-2002-21 and SRNYSE-2002-09 - pdf 4.0 - April 11, 2002
- Appendix to comment letter - pdf 4.0
Op Ed
SEC, SRO Rules & Guidance
SIA Communications to Members
SIA Publications & Press Releases
- Global Settlement Benefits Investors By Broadening Access To Financial Information, Educational Resources - April 28, 2003
- NASD, NYSE Analyst Proposals Are Conflicting, Ambiguous; Industry Needs One National Set Of Regulations - March 14, 2003
- Questions, Answers Concerning Role Of Analysts - May 15, 2002
- Talking Points Concerning Role Of Analysts - May 15, 2002
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- Securities Industry Commends SEC For Leadership On New Regulations To Ensure Integrity Of Research - May 8, 2002
- The Roles and Responsibilities of Securities Analysts -
August 22, 2001
