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LANI M. SEN WOLTMANN TO DIRECT NASD'S INVESTOR PROTECTION EFFORTS IN SOUTHERN CALIFORNIA AND NEVADA

 WASHINGTON, July 13 /PRNewswire/ -- The National Association of Securities Dealers, Inc. (NASD), has appointed Lani M. Sen Woltmann as its district director for Southern California and Nevada. The district oversees the activities of 443 firms to ensure fairness and professional ethics between firms and their customers.
 "Ms. Woltmann's solid regulatory background and experience in interacting with NASD member firms will be a tremendous asset to the NASD's success in this region," said John E. Pinto Jr., executive vice president of regulation.
 Based in Los Angeles, Woltmann supervises the implementation of regulatory policies and works closely with the District Committee composed of elected representatives of the broker/dealer community.
 "Ms. Woltmann serving in this position helps ensure that industry standards will be maintained at the highest standard," Fredric M. Roberts, NASD's 1993 chairman of the board, said. Roberts is a corporate finance specialist and the president of F.M. Roberts & Company, Inc., in Los Angeles.
 Woltmann joined NASD in 1982 and served as regional counsel for 11 years. Previously, Woltmann served in a series of positions with the Securities and Exchange Commission and the Federal Trade Commission.
 Woltmann is admitted to practice law in California, Hawaii and the District of Columbia. She received her J.D. degree from Boalt Hall School of Law, University of California at Berkeley, in 1972. A native of Hawaii, she received her B.A. degree from the University of Hawaii in 1969 and began her legal career at a Honolulu law firm after graduating from Boalt Hall.
 Woltmann is married to Charles L. Woltmann, a partner in the Los Angeles law firm of Tuttle & Taylor. They have two daughters and live in Los Angeles.
 The NASD is the largest self-regulatory organization in the United States with more than 5,200 broker/dealer members and over 442,000 registered individuals. It fulfills its statutory responsibilities through the enforcement of federal securities laws and the broader ethical requirements of its own rules. The NASD carries out its regulatory responsibilities through preventive compliance programs with an emphasis on member training and education; on-site examinations of member firms to determine their compliance with federal securities laws and NASD rules and regulations; and continuous automated surveillance of the markets it operates.
 The NASD owns, operates and regulates The Nasdaq Stock Market, the second-largest securities market in the United States and the world. More than 4,200 companies list on the nation's fastest growing equities market.
 -0- 7/13/93
 /NOTE: The Nasdaq Stock Market is a service mark./
 /CONTACT: Robert Ferri, 202-728-8955, or James D. Spellman, 202-728-8197, both of the National Association of Securities Dealers/


CO: National Association of Securities Dealers ST: District of Columbia, California, Nevada IN: FIN SU: PER

MH-TW -- DC017 -- 0930 07/13/93 13:37 EDT
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Publication:PR Newswire
Date:Jul 13, 1993
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