12/22/99		NASD Regulation Sanctions Eight Former Monitor Investment Group Executives and Brokers for Manipulative and Deceptive Practices
12/22/99		NASD Regulation Appoints David M. FitzGerald Vice President and Deputy Chief Hearing Officer and Patrice M. Gliniecki Vice President and Deputy General Counsel
12/10/99		NYSE and NASD Propose Higher Level of Margin Requirements for Day Trading
12/9/99		NASD Board of Governors Approves Major Rule Amendments to Corporate Financing Rule
12/9/99		NASD Board Approves Preliminary Plan for a Major Restructuring Final Board Vote Likely by Early January, 2000
12/7/99		Amex Fines and Suspends Allied Member for Trade Reporting and Clearance Violations
11/3/99		NASD Proposes Launch of a New Bond Trade Reporting and Transaction Dissemination Facility
10/18/99		NASD Regulation Files Complaint Against Renaissance Financial Securities Corp. and AJC Equities, Inc. for Obstructing an NASD Regulation Investigation
10/15/99		NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices for Mediation Services
10/15/99		NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices For Mediation Services
10/8/99		Working Groups on Extended-Trading Hours Submit Reports
10/7/99		NASD Board Continues Progress Toward Recapitalization of The Nasdaq Stock Market
10/7/99		NASD Board of Governors Approves Rule Proposal for Trading in Hot Equity Offerings; Eliminating Free-Riding and Withholding Rule
9/30/99		NASD Regulation Kicks Off October Settlement Month for the Midwestern and Western Regions, Offering Special Prices For Mediation Services
9/21/99		NASD Regulation, Inc., and the State of Connecticut Announce Disciplinary Actions Against Merit Capital and its Chairman
9/15/99		NASD Regulation Fines and Expels The Harriman Group, Inc.
9/7/99		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
8/31/99		NASD Regulation Charges Premier Capital Management, Firm President, and Broker with Stock Touting and Fraudulent Advertising
8/18/99		NASD Selected by CIO Magazine as a Top 100 Company to Excel in the 21st Century
8/9/99		David S. Pottruck Elected to NASD Board of Governors
8/9/99		NASD Regulation Commends Day-Trading Study
8/5/99		NASD Arbitration Forum Overwhelmingly Praised for Fairness According to Independent Survey
7/29/99		NASD Board Approves a Bond Trade Reporting and Transaction Dissemination Facility
7/29/99		NASD Board Approves Steps Toward a Broader Stock-Based Restructuring of The Nasdaq Stock Market
7/29/99		NASD Board Approves Proposed Rule for Opening Day-Trading Accounts
7/29/99		NASD Regulation's Board of Governors Approves Soliciting Comment on Proposed Exemptions From Advertising Requirements
7/22/99		NASD Opposes SEC Approval of NYSE's Anti-Competitive Amendment to Rule 500
7/15/99		NASD Regulation Fines Coleman & Company Securities, Inc. $200,000 for Unjustified Termination of Firm Commitment Underwriting
7/15/99		NASD Regulation Kicks Off Settlement Month and Offers Special Prices for Mediation Services
7/14/99		NASD's Regulatory Sanctions Trader for Limit Order Violations
7/13/99		Amex Fines and Suspends Member for Authorizing Discretionary Trading by an NYSE Floor Broker
7/8/99		NASD Regulation Fines Pruco Securities $20 Million
7/7/99		NASD Regulation Censures and Fines On-Site Trading, Inc. For Registration Violations
7/6/99		NASD Regulation Hearing Panel Expels Monroe Parker Securities and Bars Principals; Fines in Excess of $8 Million Imposed
6/23/99		NASD's Frank Zarb Asks Securities Industry to Embrace Change
6/23/99		NASD Regulation Censures and Fines Lehman Brothers $100,000 for Short Sale, Confirmation Disclosure, and Free-Riding Violations
6/10/99		President's Year 2000 Council, SEC, NASD, SIA Team Up to Educate Investors About Y2K Preparations
6/2/99		NASD and EDS Form Strategic Relationship
6/1/99		Amex Censures, Fines, and Bars Pasquale Schettino
5/27/99		NASD Board Approves Preparation for Extended Trading HoursCalls on Industry to Proceed Jointly and Responsibly
5/19/99		NASD's National Adjudicatory Council Fines A.S. Goldmen & Co. $150,000; Orders Restitution to Customers; Sanctions and Fines Firm Execs
5/19/99		Edward S. Knight to Join NASD Treasury's General Counsel to be NASD's Chief Legal Officer
4/28/99		NASD Regulation Charges R.D. White & Co., Inc. and Its Principals with Fraud and Receiving Illicit Profits in Excess of $3.5 Million
4/23/99		NASD and NYSE Jointly Announce Moment of Reflection and Remembrance for Victims in Littleton, Colorado
4/22/99		The NASD and Philadelphia Stock Exchange Terminate Merger Discussions
4/20/99		NASD Issues Notice on Margin Issues and Practices
4/20/99		NASD Regulation Appoints Alan M. Wolper District Director of Atlanta Office
4/13/99		NASD Intends to Open Shanghai Office Plans Announced Today During Visit by Chinese Premier Zhu Rongji
4/8/99		NASD Regulation Issues Guidance to Investors on Purchasing Securities on Margin
3/29/99		NASD Regulation Sanctions and Fines 10 Sterling Foster Brokers For Fraudulent "Boiler Room" Sales Practices; Orders $1.1 Million Restitution
3/29/99		OTC Bulletin Board Trading Symbols Appended for Delinquent Filers
3/25/99		NASD Board Approves Proposed Pilot of Locked and Crossed Market Rule
3/25/99		NASD Board Approves Trading Halts for News Independent of Issuer Notification
3/25/99		NASD Board Approves Pilot Program to Reduce Market Data Fees for Individual Investors
3/25/99		NASD Regulation To Solicit Comment on Proposed Rules for Day Trading Activities
3/25/99		NASD Board Approves "Trade or Move" Quotation Proposal
3/24/99		NASD Regulation Bars Pacific Cortez Securities, Formerly La Jolla Capital Corp., From Penny Stock Transactions
3/9/99		NASD Appoints Salvatore F. Sodano as Chief Operating Officer
3/2/99		NASD Appoints Dan Crowley as Vice President, NASD Governmental Affairs
3/1/99		NASD Regulation Fines PaineWebber for Registration Violations
2/26/99		Frank G. Zarb Comments on Competition
2/11/99		NASD Regulation Expels Biltmore Securities, Inc., Bars Two Principals for Microcap Fraud, and Obtains Restitution and Funds for Investors
2/9/99		NASD Regulation Appoints David A. Leibowitz Senior Vice President and District Director of New York Office
2/8/99		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
2/3/99		NASD Regulation and the New York Stock Exchange Jointly Fine Ragen MacKenzie, Inc. $125,000
1/27/99		NASD Announces Officer Appointments and Promotions
1/27/99		NASD Regulation Names Stephen Luparello to Head Market Regulation as Senior Vice President
1/26/99		NASD Issues Guidance to Brokerage Firms Regarding Sales Practices and Order Execution During Turbulent Market Conditions
1/21/99		Photo and Video Opportunity President Gerald R. Ford Joins NASD Board Rings Amex Opening Bell
1/21/99		NASD Board Approves Interpretive Material on Below-Market Conversion Rate Securities
1/15/99		NASD Regulation Postpones Access to Broker/Firm Disciplinary Information on the Internet; Increases Access to Public Disclosure Call Center
1/14/99		NASD Appoints Andrew J. MacMillan as Senior Vice President of Corporate Communications
1/12/99		NASD Regulation Appoints James M. Cangiano to The NasTech Alliance
1/6/99		NASD Announces SEC Approval of OTC Bulletin Board Eligibility Rule