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P0841 Even though it is not publicly funded, the National Association of Securities Dealers acts under the aegis of the Securities and Exchange Commission and is the primary regulatory body for the brokerdealer industry, so a proceeding before it is an official proceeding, and the SLAPP statute applies to an action arising from a report to it of allegedly improper conduct by a broker.CitationFONTANI v WELLS FARGO (Terminated Broker) 129 CA4 719 [See: CCP 425.16, 425.17; CivC 47; Briggs v Eden Council 19 C4 1106, T/AT 2/99; ComputerXpress v Jackson 93 CA4 993, T/AT 12/01]
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