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1
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SEC COMMISSION OPINION
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EXTRACTED KEY WORDS
SMALLCAP MARKET INCLUSION SHAREHOLDERS NASD REVIEW MINIMUM BID PRICE BID PRICE NASDAQ SMALLCAP MARKET TOTAL ASSETS SECURITIES EXCHANGE ACT STOCK EXCHANGE ACT OPINION COMPLIANCE SHARES COMMISSION SUPERSEDED RULE NATIONAL ASSOCIATION ROCKY MOUNTAIN POWER SECURITIES DEALERS REVIEW COMMITTEE REAL ESTATE INVESTMENT PROCEEDING COMMON STOCK PROPOSED RULE CHANGES SHAREHOLDER BASE NASD MARKETPLACE RULE REGULAR EMPLOYEES DETERMINATION |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
SECURITIES EXCHANGE ACT OF 1934
Rel. No. 40648 / November 9, 1998
Admin. Proc. File No. 3-9494
__________________________________________________
:
In the Matter of the Application of :
:
ROCKY MOUNTAIN POWER COMPANY :
1235 E. Arapahoe Road, T-ll, # 110 :
Englewood, Colorado 80112 :
:
For Review of Action Taken by the :
:
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. :
__________________________________________________:
OPINION OF THE COMMISSION
REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DENIAL OF
NASDAQ SMALLCAP INCLUSION APPLICATION
Total Assets Requirement
Number of Shareholders Requirement
Minimum Bid Price Requirement
Company failed to demonstrate compliance with inclusion
requirements for Nasdaq SmallCap Market. Held, review
proceeding is dismissed.
APPEARANCES:
Ann Porath, for Rocky Mountain Power Company.
Robert E. Aber, Sara Nelson Bloom, and Arnold P. Golub, for
the Nasdaq Stock Market, Inc.
Appeal filed: December 18, 1997
Last brief received: March 24, 1998
I.
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