...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')...and the National Association of Securities Dealers, Inc. ('NASD') will prevent the Company's shares from being actively traded in a recognized market....

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

...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...

...and customer complaint levels reported by state securities agencies closely track those recorded by the Securities and Exchange Commission (SEC) and the National Association of Securities Dealers. The SEC reports that it has undertaken 46 penny stock actions so far in fiscal year 1989, compared...

...protection available for their traditional deposit products. At the same time, state securities regulators individually and collectively through NASAA - are...representatives of the Securities and Exchange Commission (SECl and the National Associetion of Securities Dealers (NASDl to determine how we may best work together...

...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 interest...

...which overhead costs are being reduced has been through coordinated examinations. The banking agencies, the Securities and Exchange Commission (SEC), and...National Association of Securities Dealers (NASD) have agreed that the banking agencies and NASD will coordinate the examination of bank brokerage units....

...which overhead costs are being reduced has been through coordinated examinations. The banking agencies, the Securities and Exchange Commission (SEC), and...National Association of Securities Dealers (NASD) have agreed that the banking agencies and NASD will coordinate the examination of bank brokerage units....