12/19/07		AFSCME Training and Education Institute Creates Investor Education Program for Working Families
12/14/07		FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
12/13/07		FINRA Fines J. P. Morgan Securities $500,000 for Failing to Disclose Use of Payments to Consultants to Obtain Numerous Municipal Securities Offerings
11/29/07		FINRA Orders Rafferty Capital Markets to Pay Over $400,000 for Supervisory Failures Involving Late Trading, Deceptive Market Timing By Firm's Hedge Fund Customers
11/28/07		FINRA Fines Wachovia Capital Markets $300,000 for Deficient Disclosures in Research Reports
11/20/07		FINRA Investor Education Foundation Announces 2008 Grant Program
11/14/07		FINRA Investor Education Foundation to Offer Online Credit Management Resource Free to Active Duty Military, Spouses
11/12/07		FINRA Expands Investor Education Outreach with Integrated, Multimedia Advertising Campaign Aimed at Baby Boomers
11/7/07		New Study Shows Overwhelmingly Positive Employee Endorsement of Automatic Enrollment in 401(k) Plans Most Feel it Makes Saving for Retirement Easier
11/6/07		FINRA Publishes Guidance, Text for New Rule Governing Deferred Variable Annuity Transactions
11/5/07		FINRA Expels Franklin Ross, Inc. for Systemic Violations of Anti-Money Laundering Rules
10/30/07		FINRA Fines Oppenheimer $1 Million to Settle Charges that It Produced Flawed, Incomplete and Untimely Data in Breakpoint Self-Assessment
10/29/07		Securities Firms Elect Seven Industry Governors to FINRA Board of Governors
10/25/07		FINRA Fines UBS Financial Services $370,000 for Late Reporting, Failing to Report Broker Information
10/23/07		FINRA Investor Education Foundation Funds Education Program for Older Investors with Securities Disputes
10/23/07		FINRA Identifies Energy Stocks as Latest "Pump and Dump" Scheme
10/23/07		FINRA Investor Education Foundation and AFCPE Kick-Off Financial Education Program For Professional Marriage and Divorce Counselors
10/23/07		FINRA Investor Education Foundation Funds Research to Improve Disclosure of Financial Product Information
10/23/07		FINRA Investor Education Foundation Funds Research Examining How Disclosures Can Help Investors Understand Risk and Minimize Fees
10/23/07		FINRA Investor Education Foundation Funds Research on Financial Risk of Longevity in Retirement
10/11/07		FINRA Announces New Webcast to Guide Brokers when Working with Senior Customers
10/11/07		FINRA Announces Small Firm Emergency Partner Program
10/11/07		Clicking on Compliance: FINRA Launches Firm Gateway
9/27/07		Morgan Stanley to Pay $12.5 Million to Resolve FINRA Charges that it Failed to Provide Documents to Arbitration Claimants, Regulators
9/26/07		FINRA Board Approves Rule to Limit Motions to Dismiss in Arbitrations
9/17/07		FINRA Mediation Prices Reduced During "Settlement Month" in October
9/10/07		FINRA Announces Major Regulatory Sweeps at Senior Summit
9/5/07		FINRA Fines AXA Advisors $1.2 Million for Fee-Based Account Violations, Orders Return of $1.4 Million in Fees to Approximately 1,800 Customers
9/5/07		FINRA Launches 'Market Data' Online Today, Providing Free, Comprehensive Data to Retail Investors
8/30/07		New National Survey Shows Widespread Anxiety Among American Investors
8/22/07		Julie Bauer Named to FINRA Government Relations Post
8/2/07		FINRA Fines Morgan Stanley $1.5 Million, Orders $4.6 million In Restitution To Customers Overcharged in Corporate Bond Sales
8/2/07		FINRA Announces Interim Board of Governors to Serve Until Annual Meeting for Board Elections
7/30/07		NASD and NYSE Member Regulation Combine to Form the Financial Industry Regulatory Authority - FINRA
7/11/07		In First Case of Its Kind, NASD Charges Former Securities America Broker with Misleading Union Retirement Plans About Receipt of More Than $280,000 in Improper Directed Brokerage Commissions, Other Payments
6/28/07		NASD Settles Cases Against MML Investors Services, NYLIFE Securities, Securities America and Northwestern Mutual Investment Services for Fines Totaling over $1.2 Million for Failures Relating to Mutual Fund Sales
6/28/07		Accredited Financial Counselor Program Fellowships Awarded
6/27/07		NASD Fines Wells Fargo Securities $250,000 for Failing to Disclose Analyst's Employment with Covered Company in Research Report
6/21/07		NASD Fines Wachovia Securities $2 Million for Fee-Based Account Violations
6/6/07		Citigroup Global Markets to Pay Over $15 Million to Settle Charges Relating to Misleading Documents and Inadequate Disclosure in Retirement Seminars, Meetings for BellSouth Employees
5/29/07		NASD Fines HSBC Brokerage for Failure to Supervise Government Securities Transactions for Best Execution
5/15/07		WISER, Center for American Nurses Target Nurses' Financial Security with Help from NASD Investor Education Foundation Grant
5/8/07		NASD, State Regulators Issue Joint Statement to Support Insurance Regulators' Model Annuity Suitability Regulation
5/8/07		NASD Fines Two Fidelity Broker Dealers $400,000 for Distributing Misleading Sales Literature About Systematic Investment Plans Sold to Military Personnel
5/3/07		LaRae Bakerink Appointed Small Firms Representative on NASD Board of Governors
4/30/07		NASD and Chicago Stock Exchange Fine and Suspend Traders for Cross-Market Manipulation
4/26/07		William C. Alsover, Jr. Resigns from NASD Board of Governors, will Continue to Serve Small Firms in Consulting Capacity
4/23/07		Touting "China" Stocks Latest "Pump and Dump" Scheme, NASD Alert Says
4/16/07		NASD Alert Advises Investors to Consider Global Market Risk When Investing
4/11/07		NASD Hearing Panel Sanctions Former Knight Securities Executives for Supervisory Failures in Connection with Fraudulent Sales
4/10/07		NASD Warns Investors of the Risks Associated with Using Margin to Purchase Securities
4/5/07		American Library Association, NASD Investor Education Foundation Team Up to Promote Investor Education in U.S. Libraries
3/19/07		New, Improved NASD BrokerCheck Goes Live Online Today
3/16/07		Schapiro Announces Leadership and Structural Moves for New, Consolidated SRO
3/12/07		NASD Foundation Continues to Fund Investor Education for Native American Communities Through First Nations Development Institute Grant
3/2/07		NASD Foundation Announces Targeted Investor Protection Grant Program
2/22/07		NASD Investor Education Foundation Expands its Military Financial Education Campaign in 2007
2/22/07		NASD Investor Ed Foundation Announces 2007 General Grant Program Focusing on Investment Behavior and Retirement Income Security
2/21/07		NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers
2/15/07		NASD Charges Two Former Prudential Brokers with Facilitating Hedge Fund Manager's Deceptive Market Timing in Variable Annuities
2/12/07		NASD Fines Scudder Distributors, Putnam Retail Management, AllianceBernstein for Improper Training and Education Expenditures
2/8/07		NASD Investor Alert Cautions Investors About Life Settlements
2/5/07		NASD Fines Four Fidelity-Affiliated Broker-Dealers $3.75 Million for Registration, Supervision and Email Retention Violations
1/31/07		Statement of NASD Chairman and CEO Mary Schapiro Regarding the Passing of Gordon S. Macklin, Former NASD President and NASDAQ Founder
1/29/07		NASD Fines Banc of America Investment Services, Inc. $3 Million for Failing to Comply With Anti-Money Laundering Rules in Connection With High Risk Accounts
1/24/07		SEC Approves New NASD Code of Arbitration Procedure
1/21/07		NASD Member Firms Embrace Streamlined, More Efficient Regulation
1/8/07		NASD Names New Government Affairs Team
1/8/07		NASD Unveils Free Arbitration Awards Online Database; Award Searches Now Faster and Easier