INDUSTRY PRIORITES

OTHER SIA INITIATIVES

 

 

ANTI-SPAM LEGISLATION
9/13/04 SIA Comments The FTC Regarding The Definitions, Implementation, And Reporting Requirements Under The CAN-SPAM Act - pdf 5.0
5/15/02 Anti-Spam Legislation - S. 630, The CAN SPAM Act - pdf 4.0
AUTOMATED RECALL MANAGEMENT SYSTEM (ARMS)
1/07 The Automated Recall Management System (ARMS) allows electronic communication of recall notices from lenders to borrowers.
BANK ACCOUNT ADMINISTRATION
8/06 Recommended practices for the account opening / closing process and the maintenance of bank accounts. (These processes pertain only to accounts opened for the firm's operational activity.) Institutions should adopt these recommendations to fit their firms policy for opening and closing accounts. - pdf 7.0
CORPORATE GOVERNANCE & RESEARCH PRESENTATIONS
12/05-06/02 Corporate Governance & Research Conference: After the Sarbanes-Oxley Act
ELECTRONIC BLUE SHEET SUBMISSIONS
6/30/06

The Intermarket Surveillance group has released a memorandum regarding Electronic Blue Sheet Submissions, which addresses frequently asked questions and extensions for remediation. - pdf 5.0

ELECTRONIC SIGNATURES
9/26/00 Presentations (pdf 4.0) from SIA’s Electronic Signature Legislation Conference:

A Look at Current & Future Technologies

A Walk Through the Electronic Signatures Legislation

Electronic Signatures in Contracts With Customers & Other Parties

Electronic Record Retention & Electronic Storage Issues - Presentation

  • Thomas McGowan
    Securities & Exchange Commission
  • Michael Michael
    Fidelity Investments
  • Soo J. Yim
    Wilmer, Cutler & Pickering
  • Elliot Wagner
    Pershing

Electronic Signature Act & Related Financial Services Issues
H.R. 1375 - FINANCIAL SERVICES REGULATORY RELIEF ACT OF 2003
3/18/2004 H.R. 1375
SIA ISSUE BULLETINS
11/2002 IPO Primer - Why an IPO? - pdf 4.0
7/2002 Advocacy Efforts On The Accounting Reform Bill - pdf 4.0
12/2001 Current Policy Issues in Securities Regulation - SIA-AEI Conference Excerpts
MARKET DATA
10/16/01 Seligman Panel Issues Market Data Recommendations
10/16/01 SIA Arthur Anderson White Paper on Market Data Pricing - June 1999 - pdf 4.0
NASD ALTERNATIVE DISPLAY FACILITY
4/17/03 NASD extended the operation of the NASD ADF on a pilot basis for another nine months (from April 24, 2003 until Jan. 26, 2004)
7/25/02 The SEC approved a NASD proposal to operate the ADF on a pilot basis for Nasdaq securities, starting July 29, 2002.
7/24/02 Self-Regulatory Organizations; Notice of Filing and Order Granting Accelerated Approval on a Pilot Basis to a Proposed Rule Change by the National Association of Securities Dealers, Inc. Relating to the Operation of the Alternative Display Facility for Quoting and Trading in Securities of The Nasdaq Stock Market, Inc.
NASDAQ EXCHANGE APPLICATION
8/30/01 SIA letter: The Nasdaq Stock Market, Inc.: Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, Release No. 34-44396, File No. 10-131
7/31/01 Regulatory Update: The SEC has issued an order extending the comment period on the Nasdaq Stock Market's application to register as a national securities exchange (release number 34-44625)
7/24/01 SIA Letter: The Nasdaq Stock Market, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, Release No. 34-44396, File No. 10-131 - pdf 4.0
6/07/01 Commission Notice: Nasdaq Stock Market, Inc., Files Application for Registration as a National Securities Exchange
NYSE HYBRID MARKET PROPOSAL (DIRECT+)
  SEC Website for Comments Received-to-Date on NYSE Hybrid Market Proposal
  NYSE Website for Direct+, with links to Hybrid Market Proposal
8/26/04 Federal Register Version of SEC Release No. 34-50277 - Extending the Comment Period on NYSE Hybrid Market Proposal
8/26/04 SEC Release No. 34-50277: Notice of Extension of the Comment Period for the NYSE Hybrid Market Proposal
8/25/04 NYSE Agrees to an Extension, to September 22, 2004, for the Commission to Receive Comments on the NYSE Hybrid Market Proposal
8/16/04 Federal Register Version of SEC Release No. 34-50173 for the NYSE Hybrid Market Proposal
8/10/04 SEC Release No. 34-50173: Notice of Proposed Rule Change and Amendment No. 1 Thereto Relating to NYSE Hybrid Market Proposal
7/30/04 SR-NYSE-2004-05: NYSE Proposal to Expand the NYSE Direct+ System (“NYSE Hybrid Market Proposal”)
OPTIONS SYMBOLOGY INITIATIVE
5/1/06 Find out more, download a copy of the plan and submit your feedback.
PROXY PROCESSING SUGGESTED GUIDELINES
9/2006 SIA together with Corporate Actions/Securities Operation/Securities Lending Divisions have joined together to develop these suggested guidelines for Proxy Processing (pdf)
SECURITIES ACT OF 1933 REFORMS
2/06/06 Recommended Considerations for Disclosure Conveyance in Registered Securities Offerings - pdf 5.0
12/01/05 SIA Summary of Key Changes and Concerns
12/01/05 SIA Outline on Possible Changes to Contractual Underwriting Provisions
8/03/05 Sullivan & Cromwell LLP Executive Summary
8/03/05 Sullivan & Cromwell LLP Detailed Memo & Annexes
SECURITIES LITIGATION REFORM
4/01/02 The Private Securities Litigation Reform Act (PSLRA) Is Working - pdf 4.0
3/25/02 Talking Points on Statute of Limitations in the Enron Case - pdf 4.0
3/25/02 The Uniform Standards Act is Working - pdf 4.0
3/25/02 Talking Points on Aiding and Abetting - pdf 4.0