12/23/97		NASD Regulation to Track Year 2000 Readiness of Brokerage Firms
12/22/97		NASD Regulation Issues Complaint Against HGI, Maidstone Financial, and Principals of Both Firms; Fraud and Illegal Profits of $16.2 Million Alleged
12/22/97		NASD Regulation Bars Nicholas Rudi; Key Figure in Armacon Probe also Censured and Fined for Failure to Cooperate
12/17/97		Gregor S. Bailar Named Chief Information Officer of NASD and John M. Hickey Elevated to Chief Technology Officer of NASD
12/16/97		21 Brokerage Firms and a Bank Fined $325,000 for Violating MSRB Rules
12/15/97		NASD Appoints Diane E. Carter as Senior Vice President, Human Resources
12/11/97		NASD Approves Bond Fund Pilot Program
12/11/97		NASD Approves Plan to Increase Electronic Trade Processing by Vendors
12/11/97		NASD Investor Protection Initiatives - as of 01/09/98
12/11/97		NASD Announces Changes of Micro-Cap Market
11/14/97		NASD Regulation Statement on Bond Fund Ratings
11/6/97		NASD Regulation's 'Settlement Weeks' Register Major Successes; 90 Percent of Cases Resolved Through Special Program
10/21/97		NASD Regulation Fines Mayer & Schweitzer $200,000 for Failure to Provide Best Execution; As Well As Record-Keeping and Supervisory Violations
10/16/97		NASD Regulation Brings Sales Practice Charges Against 33 Former Stratton Oakmont Principals and Brokers
10/9/97		NASD Announces a Temporary Fee Reduction for SelectNet Trades
10/9/97		NASD Board of Governors Approves 1998 Board Nominees
10/9/97		NASD Board Approves New Integrated Order-Delivery and Execution System
10/1/97		NASD Regulation Issues Complaint Against Hampton Capital Management Corp., CEO, and Employee for Denying Inspection
9/11/97		NASD Regulation Disciplinary Committee Bars La Jolla Capital From Penny Stock Transactions; and Orders Fines and Restitution of More Than $950,000
9/9/97		NASD and NICE Announce Free Web-Based Investment Teaching Guide
9/4/97		NASD Regulation Marks Second Anniversary of Mediation Program; New 'Settlement Weeks' Announced
8/14/97		NASD Regulation Fines GKN Securities and 29 Brokers $725,000; Firm Must Also Pay $1.4 Million in Restitution to Investors
8/13/97		D.H. Blair and Top Officials to Pay $4.9 Million in Fines and Restitution
8/7/97		NASD Announces Audit Report Findings of Independent Consultant
8/7/97		NASD Board Approves New Taping Rule and Approves Order Audit Trail System Implementation
8/7/97		NASD Announces SEC Approval of Proposed Code of Procedure and New Membership Rules
8/7/97		NASD Proposes Eliminating Mandatory Arbitration of Employment Discrimination Claims for Registered Brokers
7/23/97		NASD Regulation, Inc., Bars 20 More Registered Representatives Suspected of Using an Impostor to Take Qualification Examination
7/22/97		NASD Regulation Enhances Web Site; Worldwide Regulatory Links and Treasury Department Connection Added
7/21/97		NASD Regulation Board Votes to Send Debt Mark-Up and Electronic Communications Rules to Sec; Public Comment Requested on Two New Items
7/14/97		NASD Regulation Names Mary Alice Brophy Executive Vice President for Member Regulation
6/26/97		Jon S. Corzine Elected to NASD Board of Governors
6/26/97		NASD Announces Plan for Restructuring Boards to Streamline Decision Making
6/26/97		Nancy Kassebaum Baker Elected to NASD Board of Governors
6/25/97		Nancy Kassebaum Baker Nominated to NASD Board of Governors
6/12/97		NASD Regulation Suspends, Fines, and Censures 15 Brokers at H.J. Meyers & Co., Inc. for Overcharging Customers
6/3/97		NASD Seeks Public and Industry Comment on Decimalization
6/2/97		NASD Appoints Two Senior Executives-Salvatore F. Sodano Named CFO Robert D. Leahy Named Senior Vice President, Corporate Communications
5/16/97		NASD Regulation Fines and Censures First Albany in First Case Against ARMACON
5/13/97		NASD Regulation Details A.R. Baron Regulatory History
4/25/97		NASD Regulation Appoints Municipal Securities Compliance Regulator
4/21/97		NASD Regulation Create New Advertising Investigating Unit
3/12/97		NASD Regualtion Censures and Fines Smith Barney and Lehman Brothers $250,000 Each; Orders $5.6 Million in Refunds to Customers
3/3/97		NASD Regulation Announces New Regional Directors for Dispute Resolution Office
2/19/97		NASD Launches Major Public Disclosure, Investor Education Initiative
1/28/97		Frank G. Zarb Named Chief Executive Officer of NASD
1/20/97		NASD Regulation Announces Disciplinary Action