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Quick Reference
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Investor News
- Yahoo board OKs $1.1B purchase of Tumblr: report May 19, 2013
- NewsWatch: Stock rally’s breadth is a sign of strength, froth May 19, 2013
- Dimon making case to keep both J.P. Morgan jobs May 19, 2013
- Market Snapshot: Stock rally’s breadth is a sign of strength, froth May 19, 2013
- North Korea fires another missile into the sea May 19, 2013
- Obama urged to make economy a bigger, bolder topic May 19, 2013
- NewsWatch: Draining IRAs too soon poses big risks May 19, 2013
- The $11,111 coffeemaker May 19, 2013
Government Relations
The following documents are a partial archive of comment letters writen to the NASD (now FINRA), the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC) and members of Congress. These were actions and communications intitiated by Thomas S. O’Keefe under NAIP as a non-profit. These are published for the publics benefit.
Listing of documents:
April 12 1998 Formal Testimony (.doc)
July 30 1998 Testimony to Sen Bank on arbitration (.doc)
Request for Rulemaking Concerning the Central Registeration Depositary Disclosure Regime of the National Association of Securities Dealers, Inc. (PDF)
NAIP Letter to SEC on 12b1fees (PDF)
2001 July 1 letter on Sarbanes Law (.doc)