...organization is a voluntary trade group made lip of securities brokers and dealers who are registered with the Securities and Exchange Commission (SEC), and...the National Association of Securities Dealers, Inc. (NASD). We have approximately 400 members. We are all independent dealers in that none of us belongs...

...organization is a voluntary trade group made up of securities brokers and dealers who are registered with the Securities and Exchange Commission (SEC), and...the National Association of Securities Dealers. Inc. (NASD). We have approximately 400 members. We are all independent dealers in that none of us belongs...

...at this time is the Board's belief that recent and pending changes in regulations and requirements of the Securities and Exchange Commission ('SEC')...the National Association of Securities Dealers, Inc. ('NASD') will prevent the Company's shares from being actively traded in a recognized market. Liquidity...

...as chairman of the Securities Subcommittee of the Senate Banking Committee, to examine the efforts of the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) to protect the investing public from fraud and abuse in the so-called penny stocks and hot issues...

...will be placed in the record at this point. [Exhibit D follows:] As a broker-dealer registered with the Securities and Exchange Commission ("SEC") and...the National Association of Securities Dealers, Inc. ("NASO"), FAIC Securities, Inc. is required to establish and maintain internal systems and controls...

...the growing penny stock industry is generally a cooperative effort among state securities agencies, the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers, Inc. (NASD). While the regulatory philosophies of the federal and state agencies allow for different approaches...

...and promotional activities) to individuals by or through any FDIC-insured depository. FDIC-Insnred Depository This term includes FDIC-insured commercial...Dealers, Inc. ("NASD"), to the extent those rules arc applicable. Special attention should be given to NASD Notice to Members 93-87, December 1993. Designated...

...On the other hand, these guidelines do not apply to retail sales conducted through bank affillates where the sale does not occur on or through bank premises...the rules of the Securities and Exchange Commission ("SEC"l and the National Association of Securities Dealers, Inc. ("NASD"l, to the extent those rules...

...activities of brokerage firms operating on bank premises. NASAA also is working with representatives of the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) to determine how we may best work together to protect consumers who purchase investment products...

...should be to eliminate improper political contributions. In our July 20, 1993, letter to the MSRB, the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers (NASD) , we indicated that state and local officials are sensitive to the appearance of conflicts of...