Sorsby Financial is a full service brokerage and money management firm that provides investment services to individual, retirement, trust, and corporate accounts using mutual funds, equities, bonds, annuities, options and other investment alternatives. The founder and president of Sorsby Financial, Charles C. Sorsby, has over 30 years experience as a financial advisor and money manager. He was with Merrill Lynch for twenty years where he was a Senior Vice President before leaving in 1995 to form Sorsby Financial. He has an undergraduate and master’s degree in economics and an MBA in finance from the University of Chicago. Accounts are handled on either a consultative or discretionary basis. Sorsby Financial Corp. is committed to bringing the highest quality service and investment advice to its clients at an attractive price. SORSBY FINANCIAL ALSO MANAGES A HEDGE FUND WHICH IS AVAILABLE TO QUALIFIED INVESTORS. Sorsby Financial Corp. is registered with the NASD, SEC, state of Illinois and other states throughout the country. Sorsby Financial uses Mesirow Financial as custodian for all customer securities and balances, to execute transactions, and to provide statements and confirmations. As the fourth largest securities firm in Chicago with over $2 billion in assets under management, Mesirow provides the security our clients require. In addition, all accounts are insured up to $25 million by the SIPC and private insurance. Tel: (312) 751-0469 Fax: (312) 751-8125 Email: sorsby@ameritech.net 676 North Michigan Ave. Suite 3140 Chicago, IL 60611

NASD has long served as the primary private-sector regulator of America's securities industry. They oversee the activities of nearly 5,100 brokerage firms, about 171,000 branch offices and more than 663,000 registered securities representatives. In addition, they provide outsourced regulatory products and services to a number of stock markets and exchanges.

From oversight to education, They touch virtually every aspect of the securities industry. NASD licenses individuals and admits firms to the industry, writes rules to govern their behavior, examines them for regulatory compliance and disciplines those who fail to comply. They oversee and regulate trading in equities, corporate bonds, securities futures and options. And They provide education and qualification examinations to industry professionals while supporting securities firms in their compliance activities. They also operate the largest securities dispute resolution forum in the world, processing over 4,600 arbitrations and nearly 1,000 mediations a year. With a staff of nearly 2,500 and an annual budget of more than $500 million, NASD is a world leader in capital markets regulation.

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. As more and more first-time investors turn to the markets to help secure their futures, pay for homes, and send children to college, our investor protection mission is more compelling than ever. As our nation's securities exchanges mature into global for-profit competitors, there is even greater need for sound market regulation. And the common interest of all Americans in a growing economy that produces jobs, improves our standard of living, and protects the value of our savings means that all of the SEC's actions must be taken with an eye toward promoting the capital formation that is necessary to sustain economic growth. The world of investing is fascinating and complex, and it can be very fruitful. But unlike the banking world, where deposits are guaranteed by the federal government, stocks, bonds and other securities can lose value. There are no guarantees. That's why investing is not a spectator sport. By far the best way for investors to protect the money they put into the securities markets is to do research and ask questions. The laws and rules that govern the securities industry in the United States derive from a simple and straightforward concept: all investors, whether large institutions or private individuals, should have access to certain basic facts about an investment prior to buying it, and so long as they hold it. To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public. This provides a common pool of knowledge for all investors to use to judge for themselves whether to buy, sell, or hold a particular security. Only through the steady flow of timely, comprehensive, and accurate information can people make sound investment decisions. The result of this information flow is a far more active, efficient, and transparent capital market that facilitates the capital formation so important to our nation's economy. To insure that this objective is always being met, the SEC continually works with all major market participants, including especially the investors in our securities markets, to listen to their concerns and to learn from their experience. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. Here the SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud. Crucial to the SEC's effectiveness in each of these areas is its enforcement authority. Each year the SEC brings hundreds of civil enforcement actions against individuals and companies for violation of the securities laws. Typical infractions include insider trading, accounting fraud, and providing false or misleading information about securities and the companies that issue them. One of the major sources of information on which the SEC relies to bring enforcement action is investors themselves -- another reason that educated and careful investors are so critical to the functioning of efficient markets. To help support investor education, the SEC offers the public a wealth of educational information on this Internet website, which also includes the EDGAR database of disclosure documents that public companies are required to file with the Commission. Though it is the primary overseer and regulator of the U.S. securities markets, the SEC works closely with many other institutions, including Congress, other federal departments and agencies, the self-regulatory organizations (e.g. the stock exchanges), state securities regulators, and various private sector organizations. In particular, the Chairman of the SEC, together with the Chairman of the Federal Reserve, the Secretary of the Treasury, and the Chairman of the Commodities Futures Trading Commission, serves as a member of the President's Working Group on Financial Markets.