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.doc		 Rule 3a4-1 Issuer-Dealer Exemption, with NFH notes of Common Trips
Last Modified on 5/12/2006
54.0 KB, <1 minute download via 56K


.doc		 FinderProposalsWithPreamble
Last Modified on 3/23/2006
58.5 KB, <1 minute download via 56K


.doc		 Texas FinderProposalsWithPreamble
Last Modified on 3/23/2006
58.5 KB, <1 minute download via 56K


.doc		 ABA Letter to Advisory Committee 9-12-05
Last Modified on 3/30/2006
480.5 KB, <1 minute download via 56K


.doc		 Hugh Makens Finder Artilce 9-2004
Last Modified on 9/20/2004
396.3 KB, <1 minute download via 56K


.doc		 Finder Survey
Last Modified on 3/24/2006
82.0 KB, <1 minute download via 56K


.doc		 SEC Small Business Advisory Committee Final Reports acspc-finalreport
Last Modified on 4/30/2006
7.7 MB, <1 minute download via 56K


.doc		 Task Force on Privt Plcmt Brk Dealr Regist. 10-24-05
Last Modified on 10/24/2005
167.2 KB, <1 minute download via 56K


.doc		 Finder Exception from Federal Broker-Dealer Registration
Last Modified on 6/5/2004
125.3 KB, <1 minute download via 56K


.doc		 2004 SEC Small Business Forum Recommendations
Last Modified on 9/30/2004
73.5 KB, <1 minute download via 56K


.doc		 Private Placement Broker Dealer 02-06 Report
Last Modified on 3/8/2006
41.5 KB, <1 minute download via 56K


.doc		 Proposed Reduction of Review Procedure for PPBDs
Last Modified on 11/14/2002
340.0 KB, <1 minute download via 56K


.doc		 Report and REcommendatoin to PPBD Task Force
Last Modified on 11/14/2002
125.1 KB, <1 minute download via 56K


.doc		 Private Placement Broker Dealer Report and Recommendations 1-14-02
Last Modified on 11/14/2002
179.4 KB, <1 minute download via 56K


.doc		 NASD Rule 1013
Last Modified on 11/14/2002
268.9 KB, <1 minute download via 56K


.doc		 NASD Rule 1014
Last Modified on 11/14/2002
322.5 KB, <1 minute download via 56K


.doc		 SEC Form BD
Last Modified on 11/14/2002
1.5 MB, <1 minute download via 56K


.doc		 NASD Exam REquirements for PPBD
Last Modified on 11/14/2002
365.0 KB, <1 minute download via 56K


.doc		 Proposed Private Placement Broker Dealer Instructions
Last Modified on 11/14/2002
553.7 KB, <1 minute download via 56K


.doc		 Proposed Form 1010EZ
Last Modified on 9/3/2002
43.0 KB, <1 minute download via 56K


.doc		 SEC No Action letter 2-6-01 Recites Finder Cases and Tests
Last Modified on 4/29/2002
44.0 KB, <1 minute download via 56K


.doc		 Capital Formation
Last Modified on 9/22/2004
228.3 KB, <1 minute download via 56K


.doc		 IA- Consultants to Employee Benefit Plans
Last Modified on 4/29/2002
40.5 KB, <1 minute download via 56K


.doc		 Illinois Securities Act Section 8
Last Modified on 3/11/2006
20.5 KB, <1 minute download via 56K


.doc		 Illinos Issuer Dealer Exemption from Definition of SALESPERSON 815 ILCS 5
Last Modified on 3/11/2006
21.5 KB, <1 minute download via 56K

Contact Nancy Fallon-Houle at nfallon@nfhlaw.com, or staff at 630-598-0400 (main) or Nancy at 630-963-0439 (direct)
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