|
|
|
| |
|
12/22/98
|
NASD Regulation Sanctions and Fines VTR Capital, Inc. and Former President for Market Manipulation and Illegal Profits; Additional $300,000 Restitution Ordered
|
|
12/21/98
|
NASD Holds Annual Meeting
|
|
12/11/98
|
NASD Board Approves Agency Quote Proposal and Interim Approach to SOES/SelectNet Integration
|
|
12/8/98
|
NASD Announces Members of New Bond Market Transparency Committee
|
|
12/1/98
|
NASD Announces New Organizational Structure
|
|
11/24/98
|
NASD Names George Friedman Senior Vice President of Dispute Resolution
|
|
11/19/98
|
NASD Regulation Fines and Sanctions Paragon Capital and President $135,000
|
|
11/3/98
|
NASD Regulation Sanctions Olde Trader for Anti-Competitive Harassment of a Nasdaq Market Maker; Firm also Fined
|
|
11/2/98
|
NASD and AMEX Merger Completed the NASDAQ-AMEX Market Group Formed
|
|
11/2/98
|
NASD Regulation Fines Lexington Capital, President for Securities Violations; Both Ordered to Pay Restitution to Investors
|
|
11/2/98
|
NASD Announces Corporate Consolidation in Montgomery County, Maryland
|
|
10/22/98
|
SEC Approves List Selection Method for NASD Regulation Arbitration Forum
|
|
10/20/98
|
NASD Regulation Institutes Proceedings Against 59 Firms for Late Y2K Filings
|
|
10/19/98
|
NASD Announces Agreement-in-Principle with EDS to Create NasTech Alliance
|
|
10/8/98
|
NASD Proposes Enhancements to Arbitration of Securities Industry Employment Discrimination Claims
|
|
10/8/98
|
NASD Board Approves Temporary Cease and Desist Authority Rule Filing
|
|
10/1/98
|
Dennis Hensley to Head NASD Institute for Professional Development
|
|
9/30/98
|
NASD Regulation Charges LT Lawrence & Co., Inc. and Principals With Fraud
|
|
9/23/98
|
NASD Regulation Sanctions Hibbard, Brown Branch Managers
|
|
9/23/98
|
NASD Regulation Continues Microcap Market Focus; Complaints Name Brokers at Greenway Capital and Kensington Wells
|
|
9/16/98
|
NASD Regulation Fines DLJ $100,000 For Trading Halted Stock
|
|
9/15/98
|
NASD Regulation's Advanced Detection System Wins Awards From Smithsonian, Data Warehousing Institute, and Artificial Intelligence Association
|
|
9/10/98
|
NASD Appoints Michael D. Jones Chief Administrative Officer
|
|
9/10/98
|
NASD Regulation Fines Olde Discount Corp. $1.35 Million; Founder Ernest Olde Also Fined $500,000 and Suspended
|
|
9/9/98
|
NASD Announces Final Agreement With OptiMark Technologies
|
|
9/9/98
|
NASD Statement on the Importance of Transparency in America's Debt Market
|
|
8/7/98
|
NASD Board of Governors Approves Rule Changes and Amendments
|
|
7/27/98
|
NASD Regulation Fines Troster Singer for Intentional Late Trade Reporting; Six Brokers Also Sanctioned
|
|
7/13/98
|
NASD Regulation Sanctions Colorado Broker; Restitution Ordered
|
|
6/25/98
|
NASD Board Approves Cold Calling Rule for Unregistered Individuals
|
|
6/25/98
|
AMEX Membership Overwhelmingly Approves NASD/AMEX Merger
|
|
6/24/98
|
Maidstone Financial Fined, Expelled; Four Brokers Also Settle Fraud Charges; Investors to Receive Restitution
|
|
6/22/98
|
Deutsche Börse and Nasdaq in Preliminary Talks
|
|
6/9/98
|
NASD Regulation Sanctions 13 Former Stratton Oakmont Principals and Registered Representatives for Sales Practice Violations
|
|
6/9/98
|
Philadelphia Stock Exchange to Join NASD/AMEX Global "Market of Markets"
|
|
5/18/98
|
AMEX Issues Voting Materials on Combination with The NASD
|
|
5/12/98
|
NASD Regulation Charges Biltmore Securities, Inc., and Two Principals With Fraud
|
|
5/7/98
|
NASD Board Approves Microcap Rule Proposals
|
|
5/7/98
|
Venture Capitalist Arthur Rock Elected to NASD Board of Governors
|
|
5/4/98
|
NASD Regulation Fines NationsSecurities $2 Million for Term Trusts Sales; Two Senior Officials and Branch Manager Also Sanctioned
|
|
4/13/98
|
NASD Regulation Sanctions Morgan Stanley and Seven Traders
|
|
4/9/98
|
SEC to Host Technology Roundtable
|
|
4/9/98
|
NASD, Amex Boards Approve Definitive Merger Agreement
|
|
3/18/98
|
NASD and AMEX to Combine to Create a Global Market of Markets
|
|
3/4/98
|
Daiwa Securities America to Pay Fine and Restitution
|
|
2/23/98
|
NASD Regulation Issues Complaint Against VTR Capital Inc. and Three Individuals; Market Manipulation and Illegal Profits of $400,000 Alleged
|
|
2/23/98
|
NASD Announces Promotion of Richard G. Ketchum to NASD President and Salvatore F. Sodano to NASD Deputy Chief Operating Officer
|
|
2/19/98
|
NASD Regulation Levies Largest Advertising Fine Ever; Fundamental Service Corp. and Two Senior Executives Sanctioned
|
|
2/17/98
|
NASD Appoints John L. Hilley Executive Vice President for Strategic Development
|
|
2/17/98
|
Media Alert
|
|
2/17/98
|
NASD Creates Small Firm Advisory Board
|
|
2/10/98
|
NASD Regulation Fines Morgan Stanley $35,000 and Orders $80,000 in Restitution for Failure to Give Best Execution
|
|
2/3/98
|
NASD Regulation Fines A.S. Goldmen & Co. $200,000 and Orders $1 Million-Plus in Restitution to Customers; President, Vice President, and Trader Also Sanctioned
|
|
1/22/98
|
NASD Launches New Worldwide Corporate Identity
|
|
1/22/98
|
NASD Board of Governors Approves Qualified Immunity Pilot Program; Four-Year Effort to Obtain More Regulatory Data
|
|
1/22/98
|
NASD Board of Governors Approves Limited Use of Related Performance Information in Mutual Fund Sales Materials
|
|
1/21/98
|
NASD Regulation Issues Complaint Against Monitor Investment Group, Inc. and 17 Principals, Brokers
|
|
1/15/98
|
NASD Members Approve New Board of Governors
|
|
1/5/98
|
NASD Regulation Charges Monroe Parker Securities, Inc., Principals With Manipulation, Fraud, And Excessive Markups
|
