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Investor News
- House votes to impeach US judge from Louisiana (AP) March 12, 2010
- Cramer s Mad Money Recap: Tech Has Come a Long Way (Update 2) (at TheStreet.com) March 11, 2010
- Hedge Funds: Goldman's Flamand leaves to start his own fund March 11, 2010
- Movers & Shakers: Thursday's biggest gaining and declining stocks March 11, 2010
- Aftershocks hit Chile as new president sworn in March 11, 2010
- Your First Move For Friday March 12th (at CNBC) March 11, 2010
- Cramer on Tech: Time to Take Profits? (at CNBC) March 11, 2010
- Earnings Watch: Updates, advisories and surprises March 11, 2010
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)