finra

FINRA

1999 News Releases

   

December 22, 1999 -   NASD Regulation Sanctions Eight Former Monitor Investment Group Executives and Brokers for Manipulative and Deceptive Practices
December 22, 1999 -   NASD Regulation Appoints David M. FitzGerald Vice President and Deputy Chief Hearing Officer and Patrice M. Gliniecki Vice President and Deputy General Counsel
December 10, 1999 -   NYSE and NASD Propose Higher Level of Margin Requirements for Day Trading
December 09, 1999 -   NASD Board of Governors Approves Major Rule Amendments to Corporate Financing Rule
December 09, 1999 -   NASD Board Approves Preliminary Plan for a Major Restructuring Final Board Vote Likely by Early January, 2000
December 07, 1999 -   Amex Fines and Suspends Allied Member for Trade Reporting and Clearance Violations
November 03, 1999 -   NASD Proposes Launch of a New Bond Trade Reporting and Transaction Dissemination Facility
October 18, 1999 -   NASD Regulation Files Complaint Against Renaissance Financial Securities Corp. and AJC Equities, Inc. for Obstructing an NASD Regulation Investigation
October 15, 1999 -   NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices for Mediation Services
October 15, 1999 -   NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices For Mediation Services
October 08, 1999 -   Working Groups on Extended-Trading Hours Submit Reports
October 07, 1999 -   NASD Board of Governors Approves Rule Proposal for Trading in Hot Equity Offerings; Eliminating Free-Riding and Withholding Rule
October 07, 1999 -   NASD Board Continues Progress Toward Recapitalization of The Nasdaq Stock Market
September 30, 1999 -   NASD Regulation Kicks Off October Settlement Month for the Midwestern and Western Regions, Offering Special Prices For Mediation Services
September 21, 1999 -   NASD Regulation, Inc., and the State of Connecticut Announce Disciplinary Actions Against Merit Capital and its Chairman
September 15, 1999 -   NASD Regulation Fines and Expels The Harriman Group, Inc.
September 07, 1999 -   President's Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline Securities Industry Efforts For Smooth Transition Into Year 2000 'Tool Kit' Helps Public Learn About Industry's Y2K Readiness
August 31, 1999 -   NASD Regulation Charges Premier Capital Management, Firm President, and Broker with Stock Touting and Fraudulent Advertising
August 18, 1999 -   NASD Selected by CIO Magazine as a Top 100 Company to Excel in the 21st Century
August 09, 1999 -   David S. Pottruck Elected to NASD Board of Governors
August 09, 1999 -   NASD Regulation Commends Day-Trading Study
August 05, 1999 -   NASD Arbitration Forum Overwhelmingly Praised for Fairness According to Independent Survey
July 29, 1999 -   NASD Board Approves a Bond Trade Reporting and Transaction Dissemination Facility
July 29, 1999 -   NASD Board Approves Steps Toward a Broader Stock-Based Restructuring of The Nasdaq Stock Market
July 29, 1999 -   NASD Board Approves Proposed Rule for Opening Day-Trading Accounts
July 29, 1999 -   NASD Regulation's Board of Governors Approves Soliciting Comment on Proposed Exemptions From Advertising Requirements
July 22, 1999 -   NASD Opposes SEC Approval of NYSE's Anti-Competitive Amendment to Rule 500
July 15, 1999 -   NASD Regulation Fines Coleman & Company Securities, Inc. $200,000 for Unjustified Termination of Firm Commitment Underwriting
July 15, 1999 -   NASD Regulation Kicks Off Settlement Month and Offers Special Prices for Mediation Services
July 14, 1999 -   NASD's Regulatory Sanctions Trader for Limit Order Violations
July 13, 1999 -   Amex Fines and Suspends Member for Authorizing Discretionary Trading by an NYSE Floor Broker
July 08, 1999 -   NASD Regulation Fines Pruco Securities $20 Million
July 07, 1999 -   NASD Regulation Censures and Fines On-Site Trading, Inc. For Registration Violations
July 06, 1999 -   NASD Regulation Hearing Panel Expels Monroe Parker Securities and Bars Principals; Fines in Excess of $8 Million Imposed
June 23, 1999 -   NASD Regulation Censures and Fines Lehman Brothers $100,000 for Short Sale, Confirmation Disclosure, and Free-Riding Violations
June 23, 1999 -   NASD's Frank Zarb Asks Securities Industry to Embrace Change
June 10, 1999 -   President's Year 2000 Council, SEC, NASD, SIA Team Up to Educate Investors About Y2K Preparations
June 02, 1999 -   NASD and EDS Form Strategic Relationship
June 01, 1999 -   Amex Censures, Fines, and Bars Pasquale Schettino
May 27, 1999 -   NASD Board Approves Preparation for Extended Trading HoursCalls on Industry to Proceed Jointly and Responsibly
May 19, 1999 -   Edward S. Knight to Join NASD Treasury's General Counsel to be NASD's Chief Legal Officer
May 19, 1999 -   NASD's National Adjudicatory Council Fines A.S. Goldmen & Co. $150,000; Orders Restitution to Customers; Sanctions and Fines Firm Execs
April 28, 1999 -   NASD Regulation Charges R.D. White & Co., Inc. and Its Principals with Fraud and Receiving Illicit Profits in Excess of $3.5 Million
April 23, 1999 -   NASD and NYSE Jointly Announce Moment of Reflection and Remembrance for Victims in Littleton, Colorado
April 22, 1999 -   The NASD and Philadelphia Stock Exchange Terminate Merger Discussions
April 20, 1999 -   NASD Issues Notice on Margin Issues and Practices
April 20, 1999 -   NASD Regulation Appoints Alan M. Wolper District Director of Atlanta Office
April 13, 1999 -   NASD Intends to Open Shanghai Office Plans Announced Today During Visit by Chinese Premier Zhu Rongji
April 08, 1999 -   NASD Regulation Issues Guidance to Investors on Purchasing Securities on Margin
March 29, 1999 -   NASD Regulation Sanctions and Fines 10 Sterling Foster Brokers For Fraudulent "Boiler Room" Sales Practices; Orders $1.1 Million Restitution
March 29, 1999 -   OTC Bulletin Board Trading Symbols Appended for Delinquent Filers
March 25, 1999 -   NASD Board Approves Pilot Program to Reduce Market Data Fees for Individual Investors
March 25, 1999 -   NASD Regulation To Solicit Comment on Proposed Rules for Day Trading Activities
March 25, 1999 -   NASD Board Approves "Trade or Move" Quotation Proposal
March 25, 1999 -   NASD Board Approves Proposed Pilot of Locked and Crossed Market Rule
March 25, 1999 -   NASD Board Approves Trading Halts for News Independent of Issuer Notification
March 24, 1999 -   NASD Regulation Bars Pacific Cortez Securities, Formerly La Jolla Capital Corp., From Penny Stock Transactions
March 09, 1999 -   NASD Appoints Salvatore F. Sodano as Chief Operating Officer
March 02, 1999 -   NASD Appoints Dan Crowley as Vice President, NASD Governmental Affairs
March 01, 1999 -   NASD Regulation Fines PaineWebber for Registration Violations
February 26, 1999 -   Frank G. Zarb Comments on Competition
February 11, 1999 -   NASD Regulation Expels Biltmore Securities, Inc., Bars Two Principals for Microcap Fraud, and Obtains Restitution and Funds for Investors
February 09, 1999 -   NASD Regulation Appoints David A. Leibowitz Senior Vice President and District Director of New York Office
February 08, 1999 -   NYSE Chair Richard Grasso, NASD Chair Frank Zarb,and Blue Ribbon Panel Co-Chairs Ira Millstein and John Whitehead announce "Ten Point Plan" to Improve Oversight of Financial Reporting Process
February 03, 1999 -   NASD Regulation and the New York Stock Exchange Jointly Fine Ragen MacKenzie, Inc. $125,000
January 27, 1999 -   NASD Announces Officer Appointments and Promotions
January 27, 1999 -   NASD Regulation Names Stephen Luparello to Head Market Regulation as Senior Vice President
January 26, 1999 -   NASD Issues Guidance to Brokerage Firms Regarding Sales Practices and Order Execution During Turbulent Market Conditions
January 21, 1999 -   NASD Board Approves Interpretive Material on Below-Market Conversion Rate Securities
January 21, 1999 -   Photo and Video Opportunity President Gerald R. Ford Joins NASD Board Rings Amex Opening Bell
January 15, 1999 -   NASD Regulation Postpones Access to Broker/Firm Disciplinary Information on the Internet; Increases Access to Public Disclosure Call Center
January 14, 1999 -   NASD Appoints Andrew J. MacMillan as Senior Vice President of Corporate Communications
January 12, 1999 -   NASD Regulation Appoints James M. Cangiano to The NasTech Alliance
January 06, 1999 -   NASD Announces SEC Approval of OTC Bulletin Board Eligibility Rule