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Microcap & Penny Stocks : Rocky Mountain Int'l (OTC:RMIL former OTC:OVIS)
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To: Michael P. Weber who wrote (35826)1/11/1998 9:29:00 PM
From: Dan Merfeld  Read Replies (2) of 55532
 
Once you have a security license, it is not something that you can lay on the desk, leave your office and say, "Now I am an individual investor". It doesn't work that way for the NASD and I am sure that Principal's compliance department doesn't see it that way. It is like saying your wife is a 'little bit pregnant' she either is or isn't. A broker is licensed or not and contrary to other's opinions in being licensed give up some of their 1st Amendment Rights.
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