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P.O. Box 6625, Athens, GA 30604 Tel. 706-208-9620 Fax 706-993-3342 www.nibanet.org [email protected] NIBA PRESENTING COMPANY APPLICATION NOVEMBER 30 – DECEMBER 2, 2011 LAS VEGAS CONFERENCE Presenting company applications will be reviewed and you will be notified if your application has been accepted. Payment information MUST be provided for your application to be considered. If your

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Page 1: nibanet.org€¦  · Web viewComplete the Company Overview, Objectives and Financials page and send to NIBA, preferably via email in MS Word format; Please read the “Presenting

P.O. Box 6625, Athens, GA 30604

Tel. 706-208-9620 Fax 706-993-3342www.nibanet.org

[email protected]

NIBA PRESENTING COMPANY APPLICATIONNOVEMBER 30 – DECEMBER 2, 2011

LAS VEGAS CONFERENCE

Presenting company applications will be reviewed and you will be notified if your application has been accepted. Payment information MUST be provided for your application to be considered. If your application is accepted the conference fee will be processed immediately. Limited Presenting Company Agenda Slots are available. You may contact NIBA by emailing [email protected], or by calling NIBA at 706-208-9620 to check availability.

Page 2: nibanet.org€¦  · Web viewComplete the Company Overview, Objectives and Financials page and send to NIBA, preferably via email in MS Word format; Please read the “Presenting

INVITATION TO PRESENT ATNIBA’s 120th Investment Conference

November 30 – December 2, 2011

SECURE A PRESENTING COMPANY AGENDA SLOT TODAY!

On behalf of the National Investment Banking Association (NIBA), I am pleased to invite you to present your company at NIBA’s Investment Conference. Along with this invitation you will find a Presenting Company Application which outlines the conference format and application process in detail. Presenting company spots and hotel reservations will be available on a first come first serve basis and are limited, late registrations are subject to wait listing.

The National Investment Banking Association, Inc. (NIBA) is the only national not-for-profit trade association of regional and independent brokerages, investment banking firms, and related capital market service providers. The mission of NIBA is to add value to its members, their client companies and investors, and the securities industry at large, by continuing to be the premier forum for quality small capital companies seeking access and exposure to underwriters and broker/dealers in connection with their capital formation, and other financial objectives and to be the focal point for all those seeking to enhance the capital formation environment for small companies.

Since its inception, NIBA member firms have successfully completed some 1000+ equity offerings totaling approximately $10 billion in new capital for America's finest emerging growth companies. The member firms of NIBA represent over 8800 registered representatives and with an estimated $78BB assets under management.

Sincerely,

Emily E. FosheeNIBA Executive Director

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P.O. Box 6625 Athens, GA 30604Tel. 706-208-9620 Fax 706-208-1033

[email protected]

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HOW DO I REGISTER AS A PRESENTING COMPANY?

1. Thoroughly read through all presenting company instructions;

2. Complete the Presenting Company Registration and Invoice Form;

3. Indicate your NIBA Member Sponsor if you have one (this is not required);

4. Sign and date the Presenting Company Agreement;

5. Reserve hotel rooms through NIBA’s Hotel Room Request Form included in this application.

6. Send completed Registration and Invoice Form, Presenting Company Agreement, and hotel room reservation form to NIBA via fax, email or overnight mail (information below);

7. Complete the Company Overview, Objectives and Financials page and send to NIBA, preferably via email in MS Word format;

8. Please read the “Presenting Company Rules of the Road” (refer to pages 12-13) that are part of this application. These points will assist you in preparing and delivering your company presentation;

9. Contact NIBA by email at [email protected] or by phone at 706-208-9620 to schedule your free pre-conference NIBA Conference Call (see page 7);

10. Prepare approximately 100 information packets for distribution at the conference.

PRESENTING COMPANY APPLICATION INSTRUCTIONS

Each item in this application packet must be completed and returned together with payment in full of all applicable fees before presentation times on the agenda for the upcoming conference will be confirmed.

Payment must be made in full, in advance, by check, cash, or credit card. We accept VISA, MasterCard, and American Express. Checks should be made payable to: NIBA.

Mailing address: National Investment Banking AssociationAttention: Emily Foshee 422 Chesterfield RoadBogart, GA 30622

Email address: [email protected]

Fax Number: 706-993-3342

We look forward to receiving your completed application. Should you have any questions concerning any of the following items, please call our offices at 706-208-9620 and we will gladly assist you.

ABOUT THE CONFERENCE:You are welcome to attend all conference functions except the Thursday morning closed Members Meeting, during which time you will be able to register, have breakfast, submit your audio visual presentation to the NIBA Audio Visual staff, and ready yourself for your presentation. Please note that your formal presentation times are in bold in the sample agenda below. All registered conference attendees will receive a Conference Agenda immediately prior to the event. All presenting companies will receive a registered attendee list in their conference packet and a NIBA member list upon conclusion of the Conference. All licensed representatives in NIBA’s network regardless of conference attendance will be able to view

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presenting company information after the conference through NIBA’s Virtual Conference Room accessible on NIBA’s website.

SAMPLE CONFERENCE AGENDA: (Times subject to change)

Wednesday, November 304:30 PM Conference Set-up (Presenting Companies & Vendors may begin setting up)7:00 PM – 9:00 PM Welcome Reception Location TBDThursday, December 17:30 AM Registration 8:00 AM – 9:40 AM Breakfast w/ Speaker/Panel10:00 AM – 1:00 PM General Session (Introductory Presenting Company Presentations)1:00 PM – 2:00 PM Luncheon with Keynote Speaker/Panel2:15 PM – 4:00 PM Breakout Sessions (Presenting Company Presentations)6:30 PM Evening Reception Location TBDFriday, December 28:00 AM – 10:00AM Networking Breakfast 10:30 AM – 1:00 PM Breakout Sessions (Presenting Company Presentations)1:00 PM – 2:00 PM Networking Luncheon

Remember, these formal presentations are typically the beginning of your company's efforts to raise capital or increase its profile in the investment community. We strongly encourage you to follow up the meeting presentations by contacting those NIBA members in attendance, as well as with continued communications to all NIBA member firms. Please note that outside activities should not be scheduled to conflict with any NIBA conference agenda item.

IMPORTANT CONFERENCE INFORMATION

Please review this information to ensure that you thoroughly understand the conference format and the services that NIBA will provide to assist you throughout the two (2 ½) day event. Please take special note of the audio/visual requirements and limitations.

PRESENTING COMPANY REGISTRATION: Where indicated, please provide all company and attendee information, including the name of the NIBA member firm and representative, if any, that will be sponsoring your presentation. Please note that only “Company Management,” i.e. the officers, directors, employees and agents of presenting companies can attend company presentations. “Spouses/Companions” are those who have no company, securities industry, or securities industry-related professional affiliations and may only attend conference receptions, luncheons, and special events. Also, please note the deadline for reservations in our room block. We strongly urge you to make your reservation now. You may cancel your hotel reservation with as little as 72 hours notice without penalty.

PRESENTING COMPANY AGREEMENT (page 10): Please review, sign and date the Presenting Company Agreement. Pay close attention to Item #14 listed in NIBA's Conditions of the Presenting Company's Agreement which addresses NIBA's Presenting Company Cancellation Policy. Additionally, review carefully Item 21 which deals with SEC Regulation Fair Disclosure.

PRESENTING COMPANY DATA: Please answer each question, where applicable, in the spaces provided. If a question does not apply, please write “Not Applicable” or “N/A.” Please note that the information you provide will form the basis for a company profile to be included in the materials distributed to each conference attendee and stored in NIBA’s Virtual Conference Room; therefore we strongly urge you to consult your NIBA member sponsor or NIBA directly when completing this form to ensure both its accuracy and effectiveness. If you do not have a NIBA member sponsor please contact NIBA for assistance. A sample of a completed profile is included in this packet for your reference.

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FINANCIAL INFORMATION: A copy of your most recent company financial information such as an annual report, 10-K, 10-Q, business plan, prospectus, red herring, or other pertinent financial information should be included with your application, if applicable.

MARKETING MATERIALS/SHIPPING INSTRUCTIONS: Presenters should bring approximately 100 information packets for distribution. All information packets will be displayed on tables, set for that purpose only, convenient to the general session meeting room. Space is limited, and unless you choose the booth option, only paper marketing materials will be displayed on this table space. Note: Materials must arrive at the conference site by Wednesday, November 29, 2011 for Wednesday conference setup. Please put your company's name on each box sent, and also number boxes "1 of 4", "2 of 4" and so on. Do not address boxes to yourself. If you do they may not be delivered to the NIBA registration area for set up prior to conference registration.

NIBA will unpack your materials and place them on the table space provided. If you opt to have a booth, NIBA will place your materials at your assigned booth space and you will be responsible for booth setup and tear down. Note: hotel handling charges may apply. If you have material that you do not want conference attendees to have access to those materials should be addressed to you and you will be responsible for their display and/or distribution. At the conclusion of the conference you may have leftover company materials that you wish to have shipped back to your office. The NIBA staff will assist you in that effort if you have pre-printed shipping labels or have your shipping account number with you.

CONFERENCE STRUCTURE

10-MINUTE OVERVIEW/GENERAL SESSION: The management of each company on the conference agenda will be allowed 10 minutes on Thursday morning for their opening presentation to the entire attending NIBA membership. This time should be used to highlight your company's attractive features, your objectives in presenting to the NIBA membership. Your company's success in attaining its financial objective is strongly impacted by the effectiveness of your presentation to the NIBA membership. It is imperative that you design and deliver a focused presentation that best portrays your corporate identity and operating success. We encourage you to have your company's representatives rehearse their presentation. It is time well spent. You may also contact NIBA to schedule a complimentary pre-conference Conference Call for additional practice, exposure and feedback.

The general session meeting room is setup classroom style for approximately 150 attendees. Presentations are made from a podium located on a raised platform in the front of the room. Each presentation is a strictly-timed 10-minute in length that begins with the NIBA sponsor, if any, introducing the presenting company. Please keep in mind that the introductory remarks are part of the presentation time, and that the timer will be activated as soon as the first remarks are made.

BREAKOUT SESSIONS: The management of each company on the conference agenda will have two (2) additional opportunities to repeat their story in a less formal, 20-minute breakout format. This time should not be used to repeat Thursday’s 10-minute presentation. Instead, use this time to highlight areas that most effectively support your objectives, or to engage in an extended question and answer session with NIBA members.

The breakout session meeting rooms are set theater style for approximately 40 attendees. Presentations will be conducted in the same manner as the general session. Again, please keep in mind that the introductory remarks are part of the presentation time, and that the timer will be activated as soon as the first remarks are made.

AUDIO/VISUAL:

a) 10-Minute General Session: we provide all of the equipment necessary to run PC-compatible PowerPoint presentations during the 10-Minute General Session, provided that the PowerPoint presentation is on one of the following media: cd-rom, compatible key drive, zip disk (containing a non-compressed file) or dvd. If digital videos are not cued, time and money are wasted. Please give the presentation to the A/V Staff at least an hour before the assigned presentation time. You are encouraged to email the presentation to NIBA at [email protected] prior to the conference. You may also give the presentation to NIBA Staff upon your arrival at the conference property in order for a trial run to be performed on NIBA’s audio visual equipment. There should only be 1 file (the presentation) on the media being used. PC compatible presentations are

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preferred. If you have a Mac presentation, make sure that it is PC compatible. Please keep in mind that this is a strictly timed 10-minute presentation; therefore no time is allowed for searching through multiple files. All presentations will be directed from the back of the room at the audio/visual station on the A/V staff’s computers. You will not be able to control the presentation from your laptop. Presenters will push a button at the podium that will signal technicians to advance the slides on the main screen. A timer similar to a traffic light is located on the podium. The timer regulates your presentations in the following manner: a) a green light goes on at the beginning of the presentation; b) at the 3-minute remaining mark a yellow light appears; c) after the entire 10-minutes have passed a red light goes on, signaling an end to the presentation.

b) 20-Minute Breakout Sessions: We provide the LCD projectors necessary to run PC compatible PowerPoint presentations. Please note that you must provide your own laptop for the each of the 20-Minute Breakout Sessions to run your company’s presentation. VGA (640 x 480 resolution) or SVGA (800 x 600 resolution) work best. Companies may use XGA (1024 x 768 resolution), however the picture will be compressed and the quality will not show through as well. Mac laptops will be allowed, however you must provide an adapter with a 1510 VGA output. A wireless mouse will not be provided; to advance the slides during the breakout sessions you will need to press the page-up/page-down buttons yourself on your own laptop. Remember, operator error costs time and money. Please make certain you are well versed on how to use your own particular piece of equipment. NIBA staff will be starting the timers in each room promptly as scheduled, and there will be minimal time available to check your program before each session begins. NIBA staff will be monitoring the breakout rooms, and an audio visual staff member will be in each room to help you set up before your breakout session begins.

PRE-CONFERENCE PRESENTING COMPANY CONFERENCE CALL (COMPLIMENTARY)

The purpose of Presenting Companies participating in a complimentary pre-conference NIBA Conference Call is to allow the company exposure to NIBA via interaction with a select group of NIBA Member Broker Dealers, including representatives from NIBA’s Board of Directors. The conference call should assist the company in preparing for its formal presentation at NIBA’s Conference. The most important benefit of the conference call is the feedback you will receive. This feedback can save a company a tremendous amount of time and money. Our members can assist your company with everything from legal issues to offering structure to increasing the number of Broker/Dealers in a syndicate. The knowledge our members possess makes NIBA the most beneficial conference a company can attend!

Please contact NIBA by email at [email protected] or by phone at 706-208-9620 to schedule your call. If you have a NIBA Sponsor they should participate in the call. NIBA will set up a teleconference call and send call instructions and information to all participants. If you choose a Go2Meeting visual presentation you will need to set up the meeting and provide NIBA the call details for distribution to all attendees.

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PRESENTING COMPANY REGISTRATION AND INVOICE

Company Name:

Address:

City, State, Zip:

Country: Website:

Tel: ( ) Fax: ( )

NIBA MEMBER SPONSOR:

Firm: Representative:

PRESENTING COMPANY FEE: $6,500.00The fee includes all meals, cocktail parties and events for three (3) members of your company’s management team and a dedicated booth space during the conference. Additional company representatives may be registered at $250.00 per person. The fee also includes access to audio visual equipment excluding the laptop needed for breakouts. The booth space provided will be a 6-8 foot skirted table with chairs and trash can. If you need easel, power, internet, or additional equipment such as a monitor you will need to make arrangements with NIBA prior to the conference and additional charges may apply.

1. Name Title email

2. Name Title email

3. Name Title email

ADDITIONAL COMPANY REPRESENTATIVES: $250.00 Each

4. Name Title email

5. Name Title email

6. Name Title email

SPOUSES/COMPANIONS: $100.00 Each

1. Name Name

2. Name Name

TOTAL FEES DUE: $ (Please note: Your application will not be considered "final" until payment is received in the NIBA offices).

Check Enclosed (Please make check payable to NIBA) Charge fee to my Credit Card listed below:

Card # Exp. Date CCV Code: Zip Code: Signature Print Name We hereby make application to present at the National Investment Banking Association Capital Conference and agree to abide by the Conditions of the Presenting Company's Agreement as set forth by NIBA on the following page.

Signature Title Print Name Date Please note that presenting companies canceling 30 days or more prior to a conference will have their presenting company fee credited towards a future conference appearance within a year. Cancellation within 30 days will result in forfeiture of the paid conference presentation fee.

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National Investment Banking Association - Conditions of the Presenting Company’s Agreement1. Applications & Eligibility. Application for a presentation must be made by the Presenting Company on the form provided by National Investment Banking Association (NIBA) and be executed by an individual who has authority to act for the Presenting Company. NIBA reserves the right to accept or reject applications on the basis of whether, in NIBA’s sole judgment, the applicant’s presentation would enhance the conference. Presenting Company is solely responsible for the accuracy of the information on the profile. A full refund of the presentation fee paid will be made if an application is rejected.

2. Agreement to Conditions. Each Presenting Company, for itself and its employees and agents, agrees to abide by these conditions, it being understood and agreed that the sole control of the conference hall rests with NIBA.

3. Assignment & Payment of Presentation Time. Presentation time may be requested by a phone call to NIBA. A complete application and full payment must be received by the deadline stated on the application form. If the completed application and payment are not received by the stated deadline, the request will be canceled automatically. If the completed application and payment are received by the deadline and the application is accepted, the Presenting Company and its NIBA-member sponsor will be so notified. The final presentation time will be determined by mutual consent of NIBA and the Presenting Company based on availability, character of the proposed presentation, individual requirements, and preferences of the NIBA-member sponsor. NIBA reserves the right at any time to reassign or adjust any and all presentation times as necessary to accommodate cancellations, unexpected delays, or other similar circumstances beyond its control.

4. Insurance. In all cases, Presenting Companies wishing to insure their goods must do so at their own expense. It is the responsibility of the Presenting Company to maintain proper insurance coverage for its property and liability.

5. A/V Services. All audio-visual equipment necessary for MS Power Point presentation, 35 mm slide and 1/2” VHS video projection will be provided by NIBA at no cost to the Presenting Company. Any additional equipment must be requested in writing to NIBA-Conference Services Department and will be provided by NIBA at the sole expense of the Presenting Company.

6. Printed Materials and Displays. No displays or product demonstrations of any kind may be brought into the hotel or conference hall area, and nothing shall be posted on, or tacked, nailed, tapped or otherwise attached to columns, walls, floors or other parts of the hotel or convention hall area without permission of NIBA and the proper building authority. Packing, unpacking and display of presentation materials shall be done only in designated areas in conformity with directions of the Director of Conference Services, the hotel or conference hall manager, or their assistants.

7. Installation & Dismantling. The specific requirements as to the time for installation and dismantling of displays or presentation materials shall be supplied to each Presenting Company for the particular conference. Such requirements shall be binding upon the Presenting Company as though fully set forth in this agreement. All displays or presentation materials must be in place and set up one hour prior to the official opening of the conference. NIBA may reassign space not occupied or set up by that time and use it for other purposes.

8. Default of Presentation. Any Presenting Company failing to complete its presentation at the time contracted for is not relieved of the obligation to pay for such presentation time at the full presentation fee, and NIBA shall have the right to use such presentation time as it sees fit to eliminate blank space in the conference agenda, provided that the Presenting Company’s representatives are not present at the conference hall one hour prior to their scheduled presentation time.

9. Personnel. All Presenting Companies must notify NIBA in advance of their intent to hire any temporary help, including the extent of their participation, and pay any and all attendance fees due, as required. All Presenting Companies participating in NIBA conferences are expected to use special care whenever they deem it necessary to hire temporary help to assist in their presentation or hospitality activities, so that personnel so selected by them will be of a caliber in keeping with the high standards of the conference.

10. Use of Space. Presentation materials and displays shall be shown only in the official conference area as established by NIBA. Neither Presenting Companies nor non-presenting companies shall be permitted to display articles, equipment, or information concerning services, or movies of such articles, equipment or services in private suites or rooms during the conference, in accordance with prior agreements between NIBA and the exhibit facility, without NIBA’s written approval.

No Presenting Company shall permit any other corporation or firm or its representatives to use the presentation time allotted to it, nor shall it display materials or articles not directly related to its presentation, or manufactured or sold normally by it. If an article of a non-presenting company firm or business is required for the operation or display of a Presenting Company’s materials, identification of such article shall be limited to the usual and regular nameplates, imprinting or trademarks under which the article is sold in the regular course of business. Co-participation by any other corporation or firm or its representatives in display space assigned to the original applicant must be by written permission of NIBA.

11. Distribution of Printed Matter, Etc. Neither Presenting Companies nor non-presenting companies at a NIBA conference shall distribute to the conference delegates printed matter, samples, souvenirs and the like, anywhere except within the conference hall. NIBA must approve in writing distribution of such material elsewhere.

12. Conflicting Meeting & Social Events. In the interest of the success of the entire conference, the Presenting Company agrees not to extend invitations, call meetings, or otherwise encourage absence of attendees from the conference hall during the official hours of the conference and exhibit.

13. Cancellations or Relocation of Conference, Exhibit or Convention. In the event of cancellation or relocation of any conference due to circumstances solely within NIBA’s direct control, the liability of NIBA shall be limited to a refund of fees paid to NIBA by the Presenting Company. In all other cases, NIBA shall have no liability of any kind but may in its discretion refund any fees paid by the Presenting Company.

14. Cancellation by Presenting Company. Should the Presenting Company be unable to use the presentation time contracted for and notifies NIBA in writing, so that NIBA receives such notice at least 30 days prior to the first day of the conference, NIBA will refund 75% of the total presentation fees; or if the presentation fee has not been paid to NIBA, the presenting company will pay 25% of that fee. No refund of any fees will be made if NIBA received from the Presenting Company notice of cancellation less than 30 days prior to the first day of the conference. The Presenting Company is liable for 100% of the total presentation fee if it cancels during this 30-day period. (This policy includes cancellation by Presenting Companies who are assigned and pay for presentation time during the 30-day period prior to the first day of the conference.)

15. NIBA’s Right to Remove the Presenting Company’s Property. NIBA reserves the right to remove from the conference facility or its premises any or all of the property of the Presenting Company should the conference be canceled or relocated, or should the Presenting Company violate any of the conditions of the Presenting Company’s Agreement. This right may be exercised without prior notice and hearing.

16. Violations of the Conditions. Any of the following actions by a Presenting Company shall constitute a violation of the conditions of the Presenting Company’s Agreement: (a) Violation of any municipal, state, or federal laws, rules, or regulations, including safety codes. (b) Failure to follow the procedures prescribed in sections 1 through 15 of this Agreement. (c) Failure to remove its property from the conference facility upon cancellation or relocation of conference.

17. Liability. (a) NIBA undertakes no duty to exercise care, nor does it assume any responsibility, for the protection and safety of the Presenting Company, its officials, agents, or employees, or for the protection of the property of the Presenting Company or its representatives, or of the property used in connection with the presentation, from theft or damage or destruction by fire, accident, or other cause. Small and easily portable articles shall be properly secured or removed after presentation hours and placed in safekeeping by the Presenting Company. Any protection exercised by NIBA shall be deemed purely gratuitous on its part and shall in no way be construed to make it liable for any loss or inconvenience suffered by the Presenting Company. (b) The Presenting Company agrees to indemnify and hold NIBA and its agents harmless from all claims or liability of any nature whatsoever arising from the activities of the Presenting Company or any of its representatives, or from the display or use of property of the Presenting Company. (c) Subject to Paragraph 13, NIBA shall not be liable for any failure to deliver a presentation time to a Presenting Company or for the loss of an allotted presentation time of any Presenting Company, which has contracted for a presentation time under the terms of this Agreement, if non-delivery is due to any of the following causes: destruction of or damage to the building or the conference area by fire or act of God, acts of a public enemy, strikes, the authority of the law, or any cause beyond its control.

18. Remedies - General. In the event the Presenting Company violates any of the conditions of the Presenting Company’s Agreement, NIBA reserves an absolute right to invoke either or both of the following remedies, which shall be in addition to, and not in lieu of, any other rights or remedies granted under this Agreement or applicable law:

(1) NIBA may order the Presenting Company to remove its materials and personnel, or have them removed under the provisions of Section 15. In these circumstances, no part of the Presenting Company’s fees will be returned. (2) NIBA may refuse thereafter to enter into any agreement with the same or related signatory/presenting company to provide presentation time at future conferences sponsored by NIBA.

19. Arbitration. Any controversy or claim between the parties hereto arising out of or related to the provisions of the Agreement or the breach thereof, shall be settled by arbitration by one arbitrator in Athens, Georgia, in accordance with the Rules of the American Arbitration Association, and judgment upon the award rendered by the Arbitrator may be entered in any court having jurisdiction thereof.

20. Jurisdiction. The validity of this Agreement, the construction and enforcement of its terms, and the interpretation of the rights and duties of the parties shall be governed by the laws of the State of Georgia, except insofar as the federal law may control any aspect of this Agreement, in which case federal law shall govern such aspect.

21. Regulation FD. In accordance with SEC Regulation FD (Fair-Disclosure), enacted on October 23, 2000, National Investment Banking Association requires that each Public Presenting Company warrants that the information it will provide at the NIBA Capital Conference only contains publicly available information, which may be found in such publicly available sources as its public filings with regulatory authorities, its website, and/or news media publications. Presenter acknowledges that as a reporting company it is subject to SEC Regulation FD, and that attendees of NIBA conferences (primarily broker-dealers and other market professionals) are among those information recipients to whom selective disclosures would be covered by the rule. Presenter further acknowledges that it will not provide material, nonpublic information to NIBA or any attendees of this conference in connection with the preparations or presentations made by the Presenter. Such disclosure of material, nonpublic information may be considered a violation of SEC Regulation FD.

Print Name

Signature

Date

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National Investment Banking Association - Conditions of the Presenting Company’s AgreementAll prospective NIBA presenting companies must complete and return this data form before a presentation time will be assigned. We urge you to consult with your NIBA member sponsor to ensure both the accuracy and effectiveness of your responses. Please type or print in the spaces below. All presenting companies are encouraged to return their information in Microsoft Word format via email to [email protected].

NIBA Objective: (Exposure or Offering) Expected Date: Structure: (If offering indicated type, amount and structure) STOCK OVERVIEW: (if applicable)Symbol: Recent Bid: $ Exchange: 52-Week Range: $ $ Shares Outstanding: Market Capitalization: $ Estimated Float: Fiscal Year End: COMPANY OVERVIEW: INVESTMENT HIGHLIGHTS:

SELECTED FINANCIAL HIGHLIGHTS: (A indicates Actual, E indicates Estimated)

Fiscal Years Ending: (May also be months ending: )

200 200 200 200 Revenue: $Net Income: $Earnings Per Share: $Wghtd. Avg. Shares:

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National Investment Banking Association - Conditions of the Presenting Company’s Agreement

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HOTEL RESERVATION FORM

LOCATION:Caesars Palace Hotel3570 Las Vegas Boulevard South, Las Vegas, NV 89109

All reservations must be made through NIBA to guarantee the stated room block rate.Reservations will be accepted on a first come, first serve basis until the room block is filled.

**Suites are limited availability…Call NIBA for availability and description**

HOTEL ROOM ACCOMODATIONS:

GUEST #1 Name: Hotel Reward Number:

Arrival Date: Departure Date:

Single/Double $129.00 Forum Tower $159.00 Palace Tower $179.00 Augustus Tower $179.00Sharing with: Hotel Reward Number:

SPECIAL NEEDS/ACCOMMODATIONS:

GUEST #2 Name: Hotel Reward Number:

Arrival Date: Departure Date:

Single/Double $129.00 Forum Tower $159.00 Palace Tower $179.00 Augustus Tower $179.00Sharing with: Hotel Reward Number:

SPECIAL NEEDS/ACCOMMODATIONS:

GUEST #3 Name: Hotel Reward Number:

Arrival Date: Departure Date:

Single/Double $129.00 Forum Tower $159.00 Palace Tower $179.00 Augustus Tower $179.00Sharing with: Hotel Reward Number:

SPECIAL NEEDS/ACCOMMODATIONS:

If you have more than 3 attendees, copy this sheet and list those individuals and their hotel accommodation request. Return all sheets with your application.

HOTEL GUARANTEE:

VISA MC AMEX DISCOVER

Card #: Exp. Date:

Signature: Print Name: I understand all guaranteed reservations will be held until 6:00AM the following day. I understand that I am liable for one night’s room deposit and tax (which will be deducted from my deposit or billed through my credit card) in the event that I do not arrive or cancel on the arrival date indicated.

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“RULES OF THE ROAD”©

A GUIDELINE OF “DO’S AND DON’T’S”FOR COMPANY PRESENTERS

AT INVESTMENT CONFERENCES

THE “DO’S”

1. If you have tangible products, the first slide the audience sees should be pictures of your products and logos. If you are service oriented, pictures of the delivery of your service, or its use in operation, should be the first slide up - before you recite your first words.

2. Build your presentation around what the brokers or investors are expecting to hear about your company and you, NOT just what you think it is important for you to convey. Each conference will have participants that are attending for a specific reason—you must satiate their reason for being there, in order to get them to do what you are making the presentation to achieve.

3. You must immediately upon initiation of your presentation let them know exactly why you are there making the pitch, and what you’d like them to do for your company.

4. You must next briefly describe your deal or offering before you ever start telling them about your company. If you have an offering you are selling, be very specific as to its nature, size, structure, compensation to the brokers, how it changes your capital structure or debt structure, collateral, etc. If you’re looking for equity, don’t necessarily ignore facts that audience members may recognize as partial debt fulfillment of your equity requirement. It only takes a few seconds to present inventory levels, current and expected, Purchase Orders received or pending, any WIP amounts and progress, and AR and AP ‘s, all necessary information for debt providers. It is even preferable to break down how much can be handled by debt by providing a debt coverage ratio.

5. Next you must answer, like a journalist writing a good expository story, the What, Where, How, Why, When, Who and How Much of your company and their opportunity, highlighting contracts, orders, etc., and the strength of who they are from or with.

6. Follow the order of the 5W’s and 2H’s above, not just the content. Your presentation will be more readily understood and they will relate more closely to the highlights that you want them to carry way from your presentation.

7. Have a large font that’s legible from 50 feet away in a projection format.

8. Be forthright and make full disclosure - good and bad. Just because your silverware may be tarnished, you don’t throw it out; you just have to find the right silver polish. Brokers or agents attending conferences are used to finding the right polish for tarnish.

9. While your presentation of the 5 W’s and 2H’s should refer to the money you’ll make, drive home with slides and statements how and how much you will make from your revenues, and why it’s going to happen, and how you’ll succeed and use that to make more. If a sale, disposition, merger or other exit strategy is implicit in your presentation, that strategy needs to be driven home before the presentation ends.

10. At the end, summarize again what you want them to do for you, not just a presentation general summary.

11. The last thing they should see are the pictures again of your product(s) or happily engaged users.

THE “DON’T’S”

1. Don’t overly dwell (more than 5 or 6 minutes of a 20 minute presentation) on product/service features and benefits, its engineering, design, technology, technical features or advantages, R&D successes, or upcoming events – get it out on the table and over with and concentrate on how it will make you money.

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2. Don’t present tables or graphs that are hard to follow by everyone but your presenters, or are hard to see all the info on clearly in the time allotted, or present so much info that it requires interpretation instead of just acceptance. Tables should be so clear that the viewer accepts on sight the info you are presenting.

3. Don’t be afraid of Bad News, but address it and get it on the table without dwelling on it for more than a minute or less. Your management team and the investors are part of the solution, not part of the problem.

4. Don’t tell them things that can’t be reasonably expected to happen - under-promise and over deliver.

5. Don’t show more than two, three at the most, years of financial projections—even if you have contracts or orders for more years - everyone discounts them anyway. While it’s OK to refer to an expected sales or income expected in 4 or 5 years, everyone knows if you make the next year, that’s what counts first.

6. Don’t try to raise money in amounts that don’t seem to fit your projections. If it will take you 2 years to be profitable, and the profits are $1MM, but you need $20MM to do it, it puts questions on your reasonableness, and the audience will lose interest on a feasibility basis.

7. Don’t avoid telling them the competitive advantages you have, just because it will highlight your company’s relative weakness vs. the existing competition you’ve got to give them every reason in 10 minutes that will make an impression on the audience.

8. Don’t overestimate or underestimate the market you’re addressing with your sales. You need a few historical examples of what’s there, how much can be accessed over what time, and why your team can deliver.

9. Don’t relate too many specific dates when certain events are expected to happen - most companies miss dates all the time and it creates problems later. Give ranges of periods of time, or if applicable state trigger events that once “this” happens, then “that” can be achieved.

10. Don’t be an accountant, an inventor, or an engineer during the presentation - just a few minutes of that type of info is the saturation point for most listeners, even professionals.

11. Don’t try to include too much info or too many facts that they must remember in order to help you. Your purpose is to drive them to help you, not to drive them away with information overload.

12. Don’t be boring just because you are presenting to a serious audience - pleasantries and a little humor are much more engaging after 5 minutes of your presentation than another 5 minutes of increased fatigue.

13. Don’t be afraid of telling them about your contracts, orders, etc., due to confidentiality fears - if you can’t mention names, you have to tell them how large or creditworthy the originators of your contracts or orders are.

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SAMPLE One-Pager of Previous NIBA Conference Presenting Company

FOR BROKER/DEALER USE ONLY

TASER INTERNATIONAL, INC. Patrick W. Smith, CEO7860 East McClain Drive, # 2 Phillips W. Smith, ChairmanScottsdale, AZ 85260 Thomas P. Smith, PresidentTel: 480-905-2000 Kathleen Hanrahan, CFOFax: 480-991-0791 www.taser.com

NIBA Sponsor: Paulson Investment, Inc. Contact: Chet Paulson (503-243-6000)NIBA Objective: Exposure Expected: N/A STOCK OVERVIEW: Symbol: TASR Recent Bid: $9.30Exchange: NASDAQ Small Cap 52-Week Range: $5.35 - $19.47Shares Outstanding: 2,700,000 Market Capitalization: $47,439,000Estimated Float: 1,200,000 Fiscal Year End: December 31 COMPANY OVERVIEW: TASER International, Inc., develops, assembles and markets less-lethal conducted energy weapons primarily for use in the law enforcement market. The Company's weapons shoot two small probes that transmit electric pulses known as T-waves. Using T-waves, The Company's ADVANCED TASER impairs voluntary muscle control. Unlike virtually all other less-lethal alternatives, the ADVANCED TASER is not dependent upon a pain response. Accordingly, the ADVANCED TASER can incapacitate focused, aggressive suspects that other less-lethal weapons may not affect. Field uses demonstrate that the ADVANCED TASER reduces injury rates for both police officers and suspects. Fewer lawsuits and lower medical and liability insurance premiums may result. Deployment of the ADVANCED TASER has already increased community goodwill and saved lives in many cities. San Diego, Sacramento, Albuquerque, and many other cities have issued TASERs to every patrol officer. From the events of September 11, a new market has emerged in providing the ADVANCED TASER to the airlines for use onboard to protect the cockpits. Over 1,100 police departments are now either using or evaluating the ADVANCED TASER. The Company expects rapid growth in the near future. INVESTMENT HIGHLIGHTS:

Proven product that saves lives and reduces costs for law enforcement agencies. Potential for explosive growth as current deployments generate press coverage and community goodwill. Large market in the U.S. of over 700,000 police and 300,000 corrections officers. Additional opportunities in related private security, correctional institutions, and personal self-defense

markets. New security market related to airline and airport security. Attractive gross margins and scaleable manufacturing permit profitable, accelerated growth.

SELECTED FINANCIAL HIGHLIGHTS:

Fiscal Years Ending: Dec. 311999 2000 2001 2002**

Revenue: $ 2,366,440 3,499,757 6,853,272 12,000,000Pre-Tax Income: $ (1,610,300) (419,001) 620,026Net Income: $ (1,610,300) (419,001) 515,029Earnings per Share: $ (0.52) (0.17) 0.22 0.50Wghtd. Avg. Shares: 2,076,410 2,482,976* 2,303,386**Reflects a stock buy-back in a shareholder debt transaction. **Projections by analysts at Paulson Investments, Inc.

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