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The SEC & the Year 2000
Notices and Certifications Filed by Broker-Dealers Pursuant to Rule 15b7-3T
To view a copy of the Notice and/or Certification of a broker-dealer filed pursuant to Rule 15b7-3T, click on the appropriate file name below. Note that the files are in Adobe Acrobat (PDF) format.
All-Tech Investment Group, September 8, 1999. (File name: all-tech.pdf)
All-Tech Investment Group (second certification), November 3, 1999. (File name: alltech2.pdf)
American General Financial Group, October 12, 1999. (File name: amgenfin.pdf)
Attain Electronic Communications Network, November 3, 1999. (File name: attain.pdf)
Barington Capital Group, August 31, 1999. (File name: baringtn.pdf)
Barington Capital Group (second certification), October 28, 1999. (File name: baring2.pdf)
Bidwell & Company, October 6, 1999. (File name: bidwell.pdf)
Bidwell & Company (second certification), November 15, 1999. (File name: bidwell2.pdf)
Black & Company, November 1999. (File name: black.pdf)
Broadmark Capital Corporation, August 16, 1999. (File name: broadmrk.pdf)
Broadmark Capital Corporation (second certification), September 14, 1999. (File name: broadmr2.pdf)
Domestic Securities, Inc., September 8, 1999. (File name: domestic.pdf)
Domestic Securities, Inc. (second certification), November 8, 1999. (File name: domesti2.pdf)
Dougherty Summit Securities LLC, November 5, 1999. (File name: doughert.pdf)
FSC Securities Corp, August 27, 1999. (File name: fsc.pdf)
FSC Securities Corporation (second certification), November 2, 1999. (File name: fsc2.pdf)
Hill, Thompson, Magid & Co., Inc., August 30, 1999. (File name: htmmd.pdf)
Hill, Thompson, Magid & Co., Inc. (second certification), September 15, 1999. (File name: htmam.pdf)
HMS Securities, Inc., September 8, 1999. (File name: hms.pdf)
HMS Securities, Inc. (second certification), November 3, 1999. (File name: hms2.pdf)
Hornblower & Weeks, Inc., September 8, 1999. (File name: hornblwr.pdf)
Hornblower & Weeks, Inc. (second certification), October 26, 1999. (File name: hornblo2.pdf)
Huntleigh Financial Services, Inc., October 27, 1999. (File name: hfs.pdf)
Hutchinson, Shockey, Erley & Co., August 31, 1999. (File name: hse.pdf)
Hutchinson, Shockey, Erley & Co. (second certification), October 26, 1999. (File name: hse2.pdf)
Intercal Securities Co., August 25, 1999. (File name: intercal.pdf)
Intercal Securities Co. (second certification)., November 1, 1999. (File name: interca2.pdf)
InterFirst Capital Corporation, August 31, 1999. (File name: inter1st.pdf)
Interfirst Capital Corporation (second certification), November 12, 1999. (File name: inter1s2.pdf)
Liberty Brokerage Securities, Inc., August 30, 1999. (File name: liberty.pdf)
Liberty Brokerage Securities Inc. (second certification), October 12, 1999. (File name: liberty2.pdf)
National Securities Corp, October 6, 1999. (File name: natlsec.pdf)
National Securities Corporation (second certification), November 9, 1999. (File name: natlsec2.pdf)
S.C. Parker & Co., Inc., August 30, 1999. (File name: scparker.pdf)
S.C. Parker & Co., Inc. (second certification), October 22, 1999. (File name: scp2.pdf)
Paribas, August 31, 1999. (File name: paribamd.pdf)
Paribas (second certification), September 13, 1999. (File name: paribaam.pdf)
Prebon Securities Inc., September 30, 1999. (File name: prebon.pdf)
Shepherd Financial Group, LLC, October 7, 1999. (File name: shepherd.pdf)
Shepherd Financial Group, Inc. (second certification), October 29, 1999. (File name: shepher2.pdf)
http://www.sec.gov/news/extra/y2k/y2kbdcrl.htm
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