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Investor News
- NewsWatch: U.S. stocks follow win streak with focus on Europe February 4, 2012
- [video] Prepaid Card Fees Add Up February 4, 2012
- NewsWatch: U.S. stocks cheer surprisingly good jobs data February 4, 2012
- Auto Review: 2012 Honda CR-V EX-L February 4, 2012
- Asia Markets: Asia investors watching for China price data February 4, 2012
- Eurogroup teleconference to discuss Greek bailout February 4, 2012
- Four Cyclical Companies With Options Worth Buying February 4, 2012
- Consumers Make More, Save More, Potentially Fueling Growth February 4, 2012
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)