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12/23/96
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Quotations of Small Mutual Funds Now Available to Investors
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12/16/96
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NASD Board Approves Creation of Two New Exams
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12/12/96
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Barry Goldsmith's Letter to the Editor of Business Week
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12/11/96
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NASD Regulation Creates New Telemarketing Rules to Protect Investors
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12/10/96
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NASD Regulation Fines Stephens Inc., $225,000 for Failure to Properly Supervise Distribution of Mutual Funds Sold on Bank Premises
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12/5/96
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NASD Regulation Expels Stratton Oakmont; Principals Also Barred
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11/19/96
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NASD Regulation, Inc., Bars Nine Registered Representatives Suspected of Using an Impostor to Take Qualification Examination
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11/15/96
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NASD Regulation Boosts Voice of Investors in Rule-Making Process
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11/15/96
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NASD Regulation Elects New Board Members
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10/28/96
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Werblow Chosen as Independent Consultant
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10/10/96
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Criminal and Public Administrative and Cease-and-Desist Proceedings Announced Against 45 in Connection with Kickback Schemes
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9/30/96
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NASD Regulation Fines Alex. Brown & Sons, and Registered Representative $150,000; Another $150,000 in Disgorgement Ordered
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9/19/96
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NASD Regulation Names New Director of Advertising/Investment Companies Regulation
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9/4/96
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NASD Regulation Announces Appointment of Deputy Chief Hearing Officer
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8/27/96
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NASD Regulation, Inc. Bars 12 Registered Representatives Suspected of Having an Impostor Take a Qualification Examination on Their Behalf
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8/22/96
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NASD Regulation President Mary L. Schapiro Announces Internet Education Program; Investors Warned to Beware of On-Line Hype
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8/22/96
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NASD Regulation Launches World Wide Web Page with Investor Guidelines and Direct Access to Regulators
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8/21/96
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NASD Regulation Fines Citicorp Securities $25,000; Orders $300,000 in Disgorgement
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8/7/96
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NASD Regulation Marks First-Year Anniversary of Mediation in the Securities Industry
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7/25/96
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NASD Regulation Obtains $1 Million-Plus In Restitution for Investors from H.J. Meyers; Fines of Nearly $500,000 Imposed
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7/19/96
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NASD Regulation Fines Amsouth Investment Services $150,000 for Mutual Fund Sales Violations
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7/17/96
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Statement by the NASD on Department of Justice Settlement
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7/9/96
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Individual Investor Office Established by NASD
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7/2/96
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NASD Chairman Tully Names Search Committee to Find Successor to Nasd President and CEO Hardiman
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7/1/96
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Merrill Lynch Chief Executive Dan Tully Elected NASD Chairman
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6/24/96
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NASD Regulation Hires Barry R. Goldsmith,Chief Sec Litigator,to Head National Enforcement Department
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6/12/96
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NASD Regulation Honored with Technology Awards
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6/5/96
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Annapolis Area Executive Daniel M. Sibears Promoted to Vice President for District Oversight, Nasd Regulation, Inc.
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5/16/96
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NASD Regulation Announces New Reorganization; Strengthens Regulatory and Enforcement Staff
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5/16/96
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NASD Regulation Hires Senior Securities Industry Expert
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5/13/96
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NASD Orders Fines and Restitution of Nearly $600,000 Against Josephthal, Lyon & Ross, Inc; Imposes Additional Sanctions
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4/15/96
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NASD Names New Senior Officials
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4/9/96
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NASD Fines and Censures Gruntal & Co.
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4/8/96
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NASD Fines Stratton Oakmont $325,000 for Fraud and Other Violations;Suspends and Fines Head Trader
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4/1/96
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NASD Names Board Members for Nasd, Inc., Nasd Regulation, Inc., and the Nasdaq Stock Market, Inc.
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3/26/96
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NASD Appoints Eight-Member Economic Advisory Board
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3/25/96
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NASD Regulation, Inc. Bars Penny Stock Broker; Orders $7.8 Million in Customer Restitution
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3/8/96
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NASD Regulation, Inc. Hires Two Senior Securities Professionals
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2/22/96
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Hibbard Brown & Co., Inc., Fined $10 Million and Expelled from Membership
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1/26/96
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NASD Names Sec Enforcement Official, Martin A. Kuperberg, Head of New York District Operations
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1/23/96
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NASD Expands Broker-Testing Facilities Fivefold to Accommodate New Continuing Education Requirements
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1/22/96
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Arbitration Task Force Issues 70 Recommendations in Largest Revamping of Securities Arbitration Since Its Start More Than a Century Ago
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