16
Printed matter, namely, manuals, magazines, newsletters,
brochures, pamphlets and leaflets regarding regulations and
requirements pertaining to the securities and investment
advisor industries and corporate bonds, regarding grants and
funding for research, projects, fellowships, seminars,
symposiums, roundtables and classes, all in the field of
investor education and databases containing employment,
licensing and disciplinary information on professionals in
the securities and investment advisor industries; printed
educational materials regarding regulation in the area of
securities, investor education, trading of securities and
corporate bonds, the securities and investment advisor
industries and corporate bond markets; business cards;
stationery; calendars; notepads; pens
35
Consulting services for others, namely, evaluating
securities market risks and providing risk management
recommendations; providing analysis of securities market
regulations, management, and operations; providing advice
regarding the structure and regulation of securities
markets; providing advice regarding the use of technology to
enforce securities market regulations and rules; providing
services to regulate the securities industry in order to
maintain the integrity of the marketplace for the benefit
and protection of investors, namely, registration of member
firms and their employees, investment advisors and
individuals and entities within the mortgage industry;
arranging of subscriptions for the publications of others;
promoting the services of others, namely, advertising and
marketing a series of discounted insurance, fiduciary bond,
mail delivery and telecommunications services to members;
on-line retail stores and mail-order catalog services
featuring booklets, manuals, audio and video tapes and
compact discs dealing with the securities and investment
industry, and featuring clothing, scarves, hats, bags,
office supplies and accessories, watches, paper goods and
calendars, umbrellas, and coffee mugs; association services,
namely, promoting the interests of securities and investment
industry professionals; business services, namely, providing
an online database featuring employment and disciplinary
information regarding professionals in the securities and
investment advisor industries; providing an on-line computer
database with information regarding the professional
background, business practices and conduct of registered
financial brokerage firms and their registered employees and
investment advisors; providing information regarding the
professional background, business practices and conduct of
registered financial brokerage firms and their registered
employees in response to telephone and email inquiries;
providing services to regulate the securities industry in
order to maintain the integrity of the marketplace for the
benefit and protection of investors, namely, registration of
member firms and their employees, investment advisors and
individuals and entities within the investment and
securities industry
36
Providing an on-line computer database of information in the
field of securities and equities trading, corporate bond
transactions, securities regulation, financial investments,
securities firms, broker/dealers and investment advisors,
grants, investor protection, and rules to govern securities
day-trading activities; development of securities trade
rules to increase transparency, disclosures and reduce
conflicts of interest; monitoring securities markets around
the world to determine compliance with regulations;
assisting securities and investment firms to assess disaster
recovery plans; creating and enforcing rules that govern the
conduct of securities investment firms and their employees;
regulating the securities and investment industries;
providing an on-line computer database with information
regarding pricing and quotes for bonds, equities and
securities, reports on bonds, equities and securities
trades, and comparisons of bonds, equities and securities
trades; providing grants and funding for research, projects,
fellowships, seminars, symposiums, roundtables and classes,
all in the field of investor education
41
Educational services, namely, conducting seminars,
conferences and workshops in the fields of securities
regulation and compliance, investor education, and providing
continuing education programs for securities industry
professionals; testing and examination of brokerage firms
and their employees