12/26/01		NASD Adopts New Interpretation Regarding Transfer of Customer Accounts
12/17/01		NASD Regulation, Inc. Disciplines Two Ohio Brokerage Firms in Muni Bond Scheme
12/11/01		NASD Regulation Suspends and Fines Two Former Senior Vice Presidents of Parker/Hunter Inc. for Insider Trading
12/10/01		NASD Board Approves Rules Governing Quotation and Trade Reporting Facility
12/5/01		NASD Regulation Announces Two Enforcement Actions Involving Sales of Variable Annuity and Life Insurance Contracts
11/28/01		NASD Announces New TRACE Implementation Date
11/26/01		NASD Forms Economic Advisory Board for Rule Modernization Initiative
11/15/01		NASD Alerts Investors on Terrorism and Anthrax Investment Scams
11/15/01		NASD Regulation Sanctions Seven for Trade or Move Violations
11/6/01		NASD Dispute Resolution's Fifth Annual Settlement Month Extended to End of November
11/5/01		NASD Regulation Launches Redesigned and Enhanced Web Site
11/5/01		NASD Regulation Hearing Panel Fines Ko Securities and Its President for Illegal Short Selling
10/31/01		NASD Postpones TRACE Implementation Date
10/22/01		NASD Regulation Charges Three Traders in Stock Manipulation Scheme
10/12/01		The NASD Seeks Comment on Establishment of Criteria and Procedures for Expungements
9/27/01		NASD Companies Donate $1 Million to Aid Victims of September 11 Attacks
9/20/01		NASD Board Of Governors Elects Robert R. Glauber Chairman NASD Members Elect Seven New Governors to Board
9/14/01		The NASD Provides Investors With Contact Information
9/6/01		NASD Regulation Names John M. Gannon Director of Investor Education
9/5/01		NASD Regulation Inc. Appoints Cathleen Shine as Senior Vice President and District Director of its New York Office
8/22/01		NASD Board of Governors Approves Bond Transaction Reporting Committee
8/13/01		NASD Regulation Alerts Investors on "Stretch IRAs"
7/26/01		Robert Glauber and Wick Simmons Named to Replace Frank Zarb as Chairmen of NASD and NASDAQ
7/16/01		NASD Regulation Sanctions Ten Firms for Locked and Crossed Market Violations in Trading After Initial Public Offerings
7/9/01		NASD Regulation Censures and Fines E*Trade Securities $90,000 for Violations of Advertising and Supervision Rules
7/2/01		NASD Board of Governors Approves Proposed Rule to Strengthen Disclosures by Research Analysts
6/27/01		NASD Regulation Sanctions Eleven Firms for Trade or Move Violations
6/13/01		NASD Regulation Fines All-Tech, Houtkin, and Other Execs $380,000 for Day Trading and Advertising Violations; Suspends Individuals
6/7/01		NASD Regulation Settles Five Disciplinary Actions Involving Day-Trading
5/22/01		NASD Regulation Hearing Panel Orders Josephthal & Co, Inc., Two Execs to Pay $3.3 Million in Fines and Restitution for Fraud and Unfair Dealing With Customers
5/10/01		NASD CEO and President Robert Glauber Statement Regarding Harvey Pitt
5/10/01		NASD Dispute Resolution to Provide Arbitration Awards Online
5/7/01		NASD Regulation Board of Governors Approves Rule Interpretation on Transfer of Customer Accounts
4/18/01		NASD Regulation Censures and Fines Stifel, Nicolaus & Company, and Two Individuals for the Unsuitable Sale of Class B Mutual Fund Shares
4/5/01		NASD Regulation Fines Banc One Capital Markets, Inc. $1.8 Million for Net Capital, Customer Reserve and Recordkeeping Violations
3/31/01		NASD Regulation and NASAA Joint Statement NASD Regulation Addresses Programming Problem With Central Registration Depository
3/20/01		NASD Regulation Issues Policy Statement to Brokerage Firms Regarding Suitability in Online Activities and Communications
2/15/01		NASD Regulation Files Six Enforcement Actions Involving Marketing and Sales of Variable Annuities
2/8/01		NASD Regulation Censures and Fines Datek Online Brokerage Services for Incorrect Confirmation Disclosure and Supervisory Failures
2/2/01		NASD Regulation's National Adjudicatory Council Sanctions Former Monitor Investment Group Executives
1/29/01		NASD Board of Governors Appoints Four New Members to the National Adjudicatory Council; and Names New Council Chair and Vice Chair
1/22/01		NASD Files Arbitration Rule Amendment to Give Investors Greater Flexibility in Settling Disputes with Suspended, Expelled or Out-of-Business Firms
1/17/01		Quill Corporation and NASD Enter Agreement to Form Marketing Partnership
1/11/01		NASD Regulation Launches Investor Alert; First Alert Focuses on Improper Sale of Promissory Notes
1/11/01		NASD Names Douglas Shulman Executive Vice President, Corporate Development, Strategy and Technology
1/8/01		NASD Regulation Bars John Fiero, Expels Fiero Brothers, Inc., and Imposes $1 Million Fine For Illegal Short Sales, Market Manipulation and Extortion