MSRB RULE G-10 INVESTOR EDUCATION AND PROTECTION

The Municipal Securities Regulatory Board (MSRB) under Rule G-10 has required us to notify you of the following:

• Dawson James Securities, Inc. is registered with the Securities and Exchange Commission (SEC) and the MSRB. As such, Dawson James Securities, Inc. is subject to the regulations and rules on municipal securities activities established by the SEC and MSRB.
• The website for the SEC is www.sec.gov and the website for the MSRB is: www.msrb.org

Informational brochures are available via the following hyperlinks:

• Municipal Securities Investor Brochure:  MSRB-Investor-Brochure.ashx