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12/23/97
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NASD Regulation to Track Year 2000 Readiness of Brokerage Firms
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12/22/97
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NASD Regulation Bars Nicholas Rudi; Key Figure in Armacon Probe also Censured and Fined for Failure to Cooperate
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12/22/97
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NASD Regulation Issues Complaint Against HGI, Maidstone Financial, and Principals of Both Firms; Fraud and Illegal Profits of $16.2 Million Alleged
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12/17/97
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Gregor S. Bailar Named Chief Information Officer of NASD and John M. Hickey Elevated to Chief Technology Officer of NASD
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12/16/97
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21 Brokerage Firms and a Bank Fined $325,000 for Violating MSRB Rules
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12/15/97
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NASD Appoints Diane E. Carter as Senior Vice President, Human Resources
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12/11/97
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NASD Approves Plan to Increase Electronic Trade Processing by Vendors
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12/11/97
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NASD Announces Changes of Micro-Cap Market
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12/11/97
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NASD Approves Bond Fund Pilot Program
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12/11/97
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NASD Investor Protection Initiatives - as of 01/09/98
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11/14/97
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NASD Regulation Statement on Bond Fund Ratings
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11/6/97
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NASD Regulation's 'Settlement Weeks' Register Major Successes;
90 Percent of Cases Resolved Through Special Program
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10/21/97
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NASD Regulation Fines Mayer & Schweitzer $200,000 for Failure to Provide Best Execution; As Well As Record-Keeping and Supervisory Violations
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10/16/97
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NASD Regulation Brings Sales Practice Charges Against 33 Former Stratton Oakmont Principals and Brokers
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10/9/97
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NASD Board of Governors Approves 1998 Board Nominees
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10/9/97
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NASD Announces a Temporary Fee Reduction for SelectNet Trades
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10/9/97
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NASD Board Approves New Integrated Order-Delivery and Execution System
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10/1/97
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NASD Regulation Issues Complaint Against Hampton Capital Management Corp., CEO, and Employee for Denying Inspection
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9/11/97
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NASD Regulation Disciplinary Committee Bars La Jolla Capital From Penny Stock Transactions; and Orders Fines and Restitution of More Than $950,000
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9/9/97
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NASD and NICE Announce Free Web-Based Investment Teaching Guide
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9/4/97
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NASD Regulation Marks Second Anniversary of Mediation Program; New 'Settlement Weeks' Announced
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8/14/97
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NASD Regulation Fines GKN Securities and 29 Brokers $725,000; Firm Must Also Pay $1.4 Million in Restitution to Investors
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8/13/97
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D.H. Blair and Top Officials to Pay $4.9 Million in Fines and Restitution
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8/7/97
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NASD Proposes Eliminating Mandatory Arbitration of Employment Discrimination Claims for Registered Brokers
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8/7/97
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NASD Announces Audit Report Findings of Independent Consultant
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8/7/97
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NASD Board Approves New Taping Rule and Approves Order Audit Trail System Implementation
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8/7/97
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NASD Announces SEC Approval of Proposed Code of Procedure and New Membership Rules
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7/23/97
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NASD Regulation, Inc., Bars 20 More Registered Representatives Suspected of Using an Impostor to Take Qualification Examination
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7/22/97
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NASD Regulation Enhances Web Site; Worldwide Regulatory Links and Treasury Department Connection Added
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7/21/97
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NASD Regulation Board Votes to Send Debt Mark-Up and Electronic Communications Rules to Sec; Public Comment Requested on Two New Items
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7/14/97
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NASD Regulation Names Mary Alice Brophy Executive Vice President for Member Regulation
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6/26/97
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Nancy Kassebaum Baker Elected to NASD Board of Governors
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6/26/97
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Jon S. Corzine Elected to NASD Board of Governors
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6/26/97
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NASD Announces Plan for Restructuring Boards to Streamline Decision Making
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6/25/97
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Nancy Kassebaum Baker Nominated to NASD Board of Governors
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6/12/97
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NASD Regulation Suspends, Fines, and Censures 15 Brokers at H.J. Meyers & Co., Inc. for Overcharging Customers
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6/3/97
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NASD Seeks Public and Industry Comment on Decimalization
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6/2/97
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NASD Appoints Two Senior Executives-Salvatore F. Sodano Named CFO Robert D. Leahy Named Senior Vice President, Corporate Communications
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5/16/97
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NASD Regulation Fines and Censures First Albany in First Case Against ARMACON
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5/13/97
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NASD Regulation Details A.R. Baron Regulatory History
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4/25/97
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NASD Regulation Appoints Municipal Securities Compliance Regulator
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4/21/97
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NASD Regulation Create New Advertising Investigating Unit
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3/12/97
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NASD Regualtion Censures and Fines Smith Barney and Lehman Brothers $250,000 Each; Orders $5.6 Million in Refunds to Customers
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3/3/97
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NASD Regulation Announces New Regional Directors for Dispute Resolution Office
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2/19/97
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NASD Launches Major Public Disclosure, Investor Education Initiative
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1/28/97
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Frank G. Zarb Named Chief Executive Officer of NASD
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1/20/97
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NASD Regulation Announces Disciplinary Action
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