12/22/98		NASD Regulation Sanctions and Fines VTR Capital, Inc. and Former President for Market Manipulation and Illegal Profits; Additional $300,000 Restitution Ordered
12/21/98		NASD Holds Annual Meeting
12/11/98		NASD Board Approves Agency Quote Proposal and Interim Approach to SOES/SelectNet Integration
12/8/98		NASD Announces Members of New Bond Market Transparency Committee
12/1/98		NASD Announces New Organizational Structure
11/24/98		NASD Names George Friedman Senior Vice President of Dispute Resolution
11/19/98		NASD Regulation Fines and Sanctions Paragon Capital and President $135,000
11/3/98		NASD Regulation Sanctions Olde Trader for Anti-Competitive Harassment of a Nasdaq Market Maker; Firm also Fined
11/2/98		NASD Announces Corporate Consolidation in Montgomery County, Maryland
11/2/98		NASD and AMEX Merger Completed the NASDAQ-AMEX Market Group Formed
11/2/98		NASD Regulation Fines Lexington Capital, President for Securities Violations; Both Ordered to Pay Restitution to Investors
10/22/98		SEC Approves List Selection Method for NASD Regulation Arbitration Forum
10/20/98		NASD Regulation Institutes Proceedings Against 59 Firms for Late Y2K Filings
10/19/98		NASD Announces Agreement-in-Principle with EDS to Create NasTech Alliance
10/8/98		NASD Board Approves Temporary Cease and Desist Authority Rule Filing
10/8/98		NASD Proposes Enhancements to Arbitration of Securities Industry Employment Discrimination Claims
10/1/98		Dennis Hensley to Head NASD Institute for Professional Development
9/30/98		NASD Regulation Charges LT Lawrence & Co., Inc. and Principals With Fraud
9/23/98		NASD Regulation Sanctions Hibbard, Brown Branch Managers
9/23/98		NASD Regulation Continues Microcap Market Focus; Complaints Name Brokers at Greenway Capital and Kensington Wells
9/16/98		NASD Regulation Fines DLJ $100,000 For Trading Halted Stock
9/15/98		NASD Regulation's Advanced Detection System Wins Awards From Smithsonian, Data Warehousing Institute, and Artificial Intelligence Association
9/10/98		NASD Regulation Fines Olde Discount Corp. $1.35 Million; Founder Ernest Olde Also Fined $500,000 and Suspended
9/10/98		NASD Appoints Michael D. Jones Chief Administrative Officer
9/9/98		NASD Statement on the Importance of Transparency in America's Debt Market
9/9/98		NASD Announces Final Agreement With OptiMark Technologies
8/7/98		NASD Board of Governors Approves Rule Changes and Amendments
7/27/98		NASD Regulation Fines Troster Singer for Intentional Late Trade Reporting; Six Brokers Also Sanctioned
7/13/98		NASD Regulation Sanctions Colorado Broker; Restitution Ordered
6/25/98		NASD Board Approves Cold Calling Rule for Unregistered Individuals
6/25/98		AMEX Membership Overwhelmingly Approves NASD/AMEX Merger
6/24/98		Maidstone Financial Fined, Expelled; Four Brokers Also Settle Fraud Charges; Investors to Receive Restitution
6/22/98		Deutsche Börse and Nasdaq in Preliminary Talks
6/9/98		NASD Regulation Sanctions 13 Former Stratton Oakmont Principals and Registered Representatives for Sales Practice Violations
6/9/98		Philadelphia Stock Exchange to Join NASD/AMEX Global "Market of Markets"
5/18/98		AMEX Issues Voting Materials on Combination with The NASD
5/12/98		NASD Regulation Charges Biltmore Securities, Inc., and Two Principals With Fraud
5/7/98		NASD Board Approves Microcap Rule Proposals
5/7/98		Venture Capitalist Arthur Rock Elected to NASD Board of Governors
5/4/98		NASD Regulation Fines NationsSecurities $2 Million for Term Trusts Sales; Two Senior Officials and Branch Manager Also Sanctioned
4/13/98		NASD Regulation Sanctions Morgan Stanley and Seven Traders
4/9/98		SEC to Host Technology Roundtable
4/9/98		NASD, Amex Boards Approve Definitive Merger Agreement
3/18/98		NASD and AMEX to Combine to Create a Global Market of Markets
3/4/98		Daiwa Securities America to Pay Fine and Restitution
2/23/98		NASD Regulation Issues Complaint Against VTR Capital Inc. and Three Individuals; Market Manipulation and Illegal Profits of $400,000 Alleged
2/23/98		NASD Announces Promotion of Richard G. Ketchum to NASD President and Salvatore F. Sodano to NASD Deputy Chief Operating Officer
2/19/98		NASD Regulation Levies Largest Advertising Fine Ever; Fundamental Service Corp. and Two Senior Executives Sanctioned
2/17/98		Media Alert
2/17/98		NASD Creates Small Firm Advisory Board
2/17/98		NASD Appoints John L. Hilley Executive Vice President for Strategic Development
2/10/98		NASD Regulation Fines Morgan Stanley $35,000 and Orders $80,000 in Restitution for Failure to Give Best Execution
2/3/98		NASD Regulation Fines A.S. Goldmen & Co. $200,000 and Orders $1 Million-Plus in Restitution to Customers; President, Vice President, and Trader Also Sanctioned
1/22/98		NASD Launches New Worldwide Corporate Identity
1/22/98		NASD Board of Governors Approves Qualified Immunity Pilot Program; Four-Year Effort to Obtain More Regulatory Data
1/22/98		NASD Board of Governors Approves Limited Use of Related Performance Information in Mutual Fund Sales Materials
1/21/98		NASD Regulation Issues Complaint Against Monitor Investment Group, Inc. and 17 Principals, Brokers
1/15/98		NASD Members Approve New Board of Governors
1/5/98		NASD Regulation Charges Monroe Parker Securities, Inc., Principals With Manipulation, Fraud, And Excessive Markups