12/23/96		Quotations of Small Mutual Funds Now Available to Investors
12/16/96		NASD Board Approves Creation of Two New Exams
12/12/96		Barry Goldsmith's Letter to the Editor of Business Week
12/11/96		NASD Regulation Creates New Telemarketing Rules to Protect Investors
12/10/96		NASD Regulation Fines Stephens Inc., $225,000 for Failure to Properly Supervise Distribution of Mutual Funds Sold on Bank Premises
12/5/96		NASD Regulation Expels Stratton Oakmont; Principals Also Barred
11/19/96		NASD Regulation, Inc., Bars Nine Registered Representatives Suspected of Using an Impostor to Take Qualification Examination
11/15/96		NASD Regulation Boosts Voice of Investors in Rule-Making Process
11/15/96		NASD Regulation Elects New Board Members
10/28/96		Werblow Chosen as Independent Consultant
10/10/96		Criminal and Public Administrative and Cease-and-Desist Proceedings Announced Against 45 in Connection with Kickback Schemes
9/30/96		NASD Regulation Fines Alex. Brown & Sons, and Registered Representative $150,000; Another $150,000 in Disgorgement Ordered
9/19/96		NASD Regulation Names New Director of Advertising/Investment Companies Regulation
9/4/96		NASD Regulation Announces Appointment of Deputy Chief Hearing Officer
8/27/96		NASD Regulation, Inc. Bars 12 Registered Representatives Suspected of Having an Impostor Take a Qualification Examination on Their Behalf
8/22/96		NASD Regulation President Mary L. Schapiro Announces Internet Education Program; Investors Warned to Beware of On-Line Hype
8/22/96		NASD Regulation Launches World Wide Web Page with Investor Guidelines and Direct Access to Regulators
8/21/96		NASD Regulation Fines Citicorp Securities $25,000; Orders $300,000 in Disgorgement
8/7/96		NASD Regulation Marks First-Year Anniversary of Mediation in the Securities Industry
7/25/96		NASD Regulation Obtains $1 Million-Plus In Restitution for Investors from H.J. Meyers; Fines of Nearly $500,000 Imposed
7/19/96		NASD Regulation Fines Amsouth Investment Services $150,000 for Mutual Fund Sales Violations
7/17/96		Statement by the NASD on Department of Justice Settlement
7/9/96		Individual Investor Office Established by NASD
7/2/96		NASD Chairman Tully Names Search Committee to Find Successor to Nasd President and CEO Hardiman
7/1/96		Merrill Lynch Chief Executive Dan Tully Elected NASD Chairman
6/24/96		NASD Regulation Hires Barry R. Goldsmith,Chief Sec Litigator,to Head National Enforcement Department
6/12/96		NASD Regulation Honored with Technology Awards
6/5/96		Annapolis Area Executive Daniel M. Sibears Promoted to Vice President for District Oversight, Nasd Regulation, Inc.
5/16/96		NASD Regulation Hires Senior Securities Industry Expert
5/16/96		NASD Regulation Announces New Reorganization; Strengthens Regulatory and Enforcement Staff
5/13/96		NASD Orders Fines and Restitution of Nearly $600,000 Against Josephthal, Lyon & Ross, Inc; Imposes Additional Sanctions
4/15/96		NASD Names New Senior Officials
4/9/96		NASD Fines and Censures Gruntal & Co.
4/8/96		NASD Fines Stratton Oakmont $325,000 for Fraud and Other Violations;Suspends and Fines Head Trader
4/1/96		NASD Names Board Members for Nasd, Inc., Nasd Regulation, Inc., and the Nasdaq Stock Market, Inc.
3/26/96		NASD Appoints Eight-Member Economic Advisory Board
3/25/96		NASD Regulation, Inc. Bars Penny Stock Broker; Orders $7.8 Million in Customer Restitution
3/8/96		NASD Regulation, Inc. Hires Two Senior Securities Professionals
2/22/96		Hibbard Brown & Co., Inc., Fined $10 Million and Expelled from Membership
1/26/96		NASD Names Sec Enforcement Official, Martin A. Kuperberg, Head of New York District Operations
1/23/96		NASD Expands Broker-Testing Facilities Fivefold to Accommodate New Continuing Education Requirements
1/22/96		Arbitration Task Force Issues 70 Recommendations in Largest Revamping of Securities Arbitration Since Its Start More Than a Century Ago