finra

FINRA

2001 News Releases

   

December 26, 2001 -   NASD Adopts New Interpretation Regarding Transfer of Customer Accounts
December 17, 2001 -   NASD Regulation, Inc. Disciplines Two Ohio Brokerage Firms in Muni Bond Scheme
December 11, 2001 -   NASD Regulation Suspends and Fines Two Former Senior Vice Presidents of Parker/Hunter Inc. for Insider Trading
December 10, 2001 -   NASD Board Approves Rules Governing Quotation and Trade Reporting Facility
December 05, 2001 -   NASD Regulation Announces Two Enforcement Actions Involving Sales of Variable Annuity and Life Insurance Contracts
November 28, 2001 -   NASD Announces New TRACE Implementation Date
November 26, 2001 -   NASD Forms Economic Advisory Board for Rule Modernization Initiative
November 15, 2001 -   NASD Regulation Sanctions Seven for Trade or Move Violations
November 15, 2001 -   NASD Alerts Investors on Terrorism and Anthrax Investment Scams
November 06, 2001 -   NASD Dispute Resolution's Fifth Annual Settlement Month Extended to End of November
November 05, 2001 -   NASD Regulation Launches Redesigned and Enhanced Web Site
November 05, 2001 -   NASD Regulation Hearing Panel Fines Ko Securities and Its President for Illegal Short Selling
October 31, 2001 -   NASD Postpones TRACE Implementation Date
October 22, 2001 -   NASD Regulation Charges Three Traders in Stock Manipulation Scheme
October 12, 2001 -   The NASD Seeks Comment on Establishment of Criteria and Procedures for Expungements
September 27, 2001 -   NASD Companies Donate $1 Million to Aid Victims of September 11 Attacks
September 20, 2001 -   NASD Board Of Governors Elects Robert R. Glauber Chairman NASD Members Elect Seven New Governors to Board
September 14, 2001 -   The NASD Provides Investors With Contact Information
September 06, 2001 -   NASD Regulation Names John M. Gannon Director of Investor Education
September 05, 2001 -   NASD Regulation Inc. Appoints Cathleen Shine as Senior Vice President and District Director of its New York Office
August 22, 2001 -   NASD Board of Governors Approves Bond Transaction Reporting Committee
August 13, 2001 -   NASD Regulation Alerts Investors on "Stretch IRAs"
July 26, 2001 -   Robert Glauber and Wick Simmons Named to Replace Frank Zarb as Chairmen of NASD and NASDAQ
July 16, 2001 -   NASD Regulation Sanctions Ten Firms for Locked and Crossed Market Violations in Trading After Initial Public Offerings
July 09, 2001 -   NASD Regulation Censures and Fines E*Trade Securities $90,000 for Violations of Advertising and Supervision Rules
July 02, 2001 -   NASD Board of Governors Approves Proposed Rule to Strengthen Disclosures by Research Analysts
June 27, 2001 -   NASD Regulation Sanctions Eleven Firms for Trade or Move Violations
June 13, 2001 -   NASD Regulation Fines All-Tech, Houtkin, and Other Execs $380,000 for Day Trading and Advertising Violations; Suspends Individuals
June 07, 2001 -   NASD Regulation Settles Five Disciplinary Actions Involving Day-Trading
May 22, 2001 -   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
May 10, 2001 -   NASD Dispute Resolution to Provide Arbitration Awards Online
May 10, 2001 -   NASD CEO and President Robert Glauber Statement Regarding Harvey Pitt
May 07, 2001 -   NASD Regulation Board of Governors Approves Rule Interpretation on Transfer of Customer Accounts
April 18, 2001 -   NASD Regulation Censures and Fines Stifel, Nicolaus & Company, and Two Individuals for the Unsuitable Sale of Class B Mutual Fund Shares
April 05, 2001 -   NASD Regulation Fines Banc One Capital Markets, Inc. $1.8 Million for Net Capital, Customer Reserve and Recordkeeping Violations
March 31, 2001 -   NASD Regulation and NASAA Joint Statement NASD Regulation Addresses Programming Problem With Central Registration Depository
March 20, 2001 -   NASD Regulation Issues Policy Statement to Brokerage Firms Regarding Suitability in Online Activities and Communications
February 15, 2001 -   NASD Regulation Files Six Enforcement Actions Involving Marketing and Sales of Variable Annuities
February 08, 2001 -   NASD Regulation Censures and Fines Datek Online Brokerage Services for Incorrect Confirmation Disclosure and Supervisory Failures
February 02, 2001 -   NASD Regulation's National Adjudicatory Council Sanctions Former Monitor Investment Group Executives
January 29, 2001 -   NASD Board of Governors Appoints Four New Members to the National Adjudicatory Council; and Names New Council Chair and Vice Chair
January 22, 2001 -   NASD Files Arbitration Rule Amendment to Give Investors Greater Flexibility in Settling Disputes with Suspended, Expelled or Out-of-Business Firms
January 17, 2001 -   Quill Corporation and NASD Enter Agreement to Form Marketing Partnership
January 11, 2001 -   NASD Regulation Launches Investor Alert; First Alert Focuses on Improper Sale of Promissory Notes
January 11, 2001 -   NASD Names Douglas Shulman Executive Vice President, Corporate Development, Strategy and Technology
January 08, 2001 -   NASD Regulation Bars John Fiero, Expels Fiero Brothers, Inc., and Imposes $1 Million Fine For Illegal Short Sales, Market Manipulation and Extortion