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Company Disclosure Policy
Employees of AB Analytical Services are prohibited from engaging in "front-running" clients of the firm or for failing to disclose any holdings that may bias research. When a client signs an engagement letter with the firm, the firm will disclose any positions of its employees or associates in either that company or industry. Additionally, no employee or associate of the firm will buy or sell any security or derivative related to the research project for a period up to and including 5 business days following the delivery of the final report. For any non-custom reports that are distributed to clients, all potential conflicts will be disclosed and there will be a 2 business day restriction of activities in securities mentioned in the report. For all articles distributed to the general public, there will be a two-day restriction against taking action that is contrary to any implied recommendation. Finally, all employees of the firm will post a complete list of individual stock positions, updated on a frequent basis, on our website.
Holdings as of 6/12/11:
Alan Brochstein, CFA
This list includes all individual securities that are in portfolios belonging to me or my family members in excess of $10,000 in total value across all accounts. This list is accurate only as of the date listed and excludes ETFs or mutual funds.