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12/22/99
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NASD Regulation Appoints David M. FitzGerald Vice President and Deputy Chief Hearing Officer and Patrice M. Gliniecki Vice President and Deputy General Counsel
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12/22/99
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NASD Regulation Sanctions Eight Former Monitor Investment Group Executives and Brokers for Manipulative and Deceptive Practices
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12/10/99
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NYSE and NASD Propose Higher Level of Margin Requirements for Day Trading
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12/9/99
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NASD Board Approves Preliminary Plan for a Major Restructuring Final Board Vote Likely by Early January, 2000
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12/9/99
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NASD Board of Governors Approves Major Rule Amendments to Corporate Financing Rule
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12/7/99
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Amex Fines and Suspends Allied Member for Trade Reporting and Clearance Violations
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11/3/99
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NASD Proposes Launch of a New Bond Trade Reporting and Transaction Dissemination Facility
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10/18/99
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NASD Regulation Files Complaint Against Renaissance Financial Securities Corp. and AJC Equities, Inc. for Obstructing an NASD Regulation Investigation
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10/15/99
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NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices For Mediation Services
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10/15/99
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NASD Regulation Kicks Off October Settlement Month for the Southeastern Region, Offering Special Prices for Mediation Services
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10/8/99
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Working Groups on Extended-Trading Hours Submit Reports
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10/7/99
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NASD Board Continues Progress Toward Recapitalization of The Nasdaq Stock Market
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10/7/99
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NASD Board of Governors Approves Rule Proposal for Trading in Hot Equity Offerings; Eliminating Free-Riding and Withholding Rule
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9/30/99
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NASD Regulation Kicks Off October Settlement Month for the Midwestern and Western Regions, Offering Special Prices For Mediation Services
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9/21/99
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NASD Regulation, Inc., and the State of Connecticut Announce Disciplinary Actions Against Merit Capital and its Chairman
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9/15/99
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NASD Regulation Fines and Expels The Harriman Group, Inc.
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9/7/99
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President's Year 2000 Council, SEC, NYSE, NASD, ICI, SIA Outline
Securities Industry Efforts For Smooth Transition Into Year 2000
'Tool Kit' Helps Public Learn About Industry's Y2K Readiness
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8/31/99
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NASD Regulation Charges Premier Capital Management, Firm President, and Broker with Stock Touting and Fraudulent Advertising
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8/18/99
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NASD Selected by CIO Magazine as a Top 100 Company to Excel in the 21st Century
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8/9/99
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David S. Pottruck Elected to NASD Board of Governors
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8/9/99
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NASD Regulation Commends Day-Trading Study
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8/5/99
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NASD Arbitration Forum Overwhelmingly Praised for Fairness According to Independent Survey
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7/29/99
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NASD Board Approves Steps Toward a Broader Stock-Based Restructuring of The Nasdaq Stock Market
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7/29/99
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NASD Board Approves a Bond Trade Reporting and Transaction Dissemination Facility
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7/29/99
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NASD Board Approves Proposed Rule for Opening Day-Trading Accounts
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7/29/99
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NASD Regulation's Board of Governors Approves Soliciting Comment on Proposed Exemptions From Advertising Requirements
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7/22/99
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NASD Opposes SEC Approval of NYSE's Anti-Competitive Amendment to Rule 500
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7/15/99
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NASD Regulation Fines Coleman & Company Securities, Inc. $200,000
for Unjustified Termination of Firm Commitment Underwriting
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7/15/99
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NASD Regulation Kicks Off Settlement Month and Offers Special Prices for Mediation Services
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7/14/99
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NASD's Regulatory Sanctions Trader for Limit Order Violations
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7/13/99
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Amex Fines and Suspends Member for Authorizing Discretionary Trading by an NYSE Floor Broker
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7/8/99
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NASD Regulation Fines Pruco Securities $20 Million
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7/7/99
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NASD Regulation Censures and Fines On-Site Trading, Inc. For Registration Violations
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7/6/99
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NASD Regulation Hearing Panel Expels Monroe Parker Securities
and Bars Principals; Fines in Excess of $8 Million Imposed
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6/23/99
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NASD's Frank Zarb Asks Securities Industry to Embrace Change
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6/23/99
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NASD Regulation Censures and Fines Lehman Brothers $100,000 for Short Sale, Confirmation Disclosure, and Free-Riding Violations
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6/10/99
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President's Year 2000 Council, SEC, NASD, SIA Team Up to Educate Investors About Y2K Preparations
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6/2/99
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NASD and EDS Form Strategic Relationship
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6/1/99
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Amex Censures, Fines, and Bars Pasquale Schettino
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5/27/99
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NASD Board Approves Preparation for Extended Trading HoursCalls on Industry to Proceed Jointly and Responsibly
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5/19/99
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NASD's National Adjudicatory Council Fines A.S. Goldmen & Co. $150,000; Orders Restitution to Customers; Sanctions and Fines Firm Execs
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5/19/99
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Edward S. Knight to Join NASD
Treasury's General Counsel to be NASD's Chief Legal Officer
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4/28/99
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NASD Regulation Charges R.D. White & Co., Inc. and Its Principals with Fraud and Receiving Illicit Profits in Excess of $3.5 Million
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4/23/99
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NASD and NYSE Jointly Announce Moment of Reflection and Remembrance for Victims in Littleton, Colorado
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4/22/99
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The NASD and Philadelphia Stock Exchange Terminate Merger Discussions
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4/20/99
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NASD Regulation Appoints Alan M. Wolper District Director of Atlanta Office
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4/20/99
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NASD Issues Notice on Margin Issues and Practices
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4/13/99
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NASD Intends to Open Shanghai Office
Plans Announced Today During Visit by Chinese Premier Zhu Rongji
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4/8/99
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NASD Regulation Issues Guidance to Investors on Purchasing Securities on Margin
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3/29/99
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NASD Regulation Sanctions and Fines 10 Sterling Foster Brokers For Fraudulent "Boiler Room" Sales Practices; Orders $1.1 Million Restitution
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3/29/99
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OTC Bulletin Board Trading Symbols Appended for Delinquent Filers
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3/25/99
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NASD Board Approves Proposed Pilot of Locked and Crossed Market Rule
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3/25/99
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NASD Board Approves "Trade or Move" Quotation Proposal
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3/25/99
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NASD Board Approves Trading Halts for News Independent of Issuer Notification
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3/25/99
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NASD Board Approves Pilot Program to Reduce Market Data Fees for Individual Investors
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3/25/99
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NASD Regulation To Solicit Comment on Proposed Rules for Day Trading Activities
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3/24/99
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NASD Regulation Bars Pacific Cortez Securities, Formerly La Jolla Capital Corp., From Penny Stock Transactions
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3/9/99
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NASD Appoints Salvatore F. Sodano as Chief Operating Officer
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3/2/99
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NASD Appoints Dan Crowley as Vice President, NASD Governmental Affairs
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3/1/99
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NASD Regulation Fines PaineWebber for Registration Violations
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2/26/99
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Frank G. Zarb Comments on Competition
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2/11/99
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NASD Regulation Expels Biltmore Securities, Inc., Bars Two Principals for Microcap Fraud, and Obtains Restitution and Funds for Investors
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2/9/99
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NASD Regulation Appoints David A. Leibowitz Senior Vice President and District Director of New York Office
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2/8/99
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NYSE Chair Richard Grasso, NASD Chair Frank Zarb,and Blue Ribbon Panel Co-Chairs Ira Millstein and John Whitehead announce "Ten Point Plan" to Improve Oversight of Financial Reporting Process
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2/3/99
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NASD Regulation and the New York Stock Exchange Jointly Fine Ragen MacKenzie, Inc. $125,000
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1/27/99
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NASD Regulation Names Stephen Luparello to Head Market Regulation as Senior Vice President
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1/27/99
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NASD Announces Officer Appointments and Promotions
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1/26/99
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NASD Issues Guidance to Brokerage Firms Regarding Sales Practices and Order Execution During Turbulent Market Conditions
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1/21/99
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Photo and Video Opportunity
President Gerald R. Ford Joins NASD Board Rings Amex Opening Bell
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1/21/99
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NASD Board Approves Interpretive Material on Below-Market Conversion Rate Securities
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1/15/99
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NASD Regulation Postpones Access to Broker/Firm Disciplinary Information on the Internet; Increases Access to Public Disclosure Call Center
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1/14/99
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NASD Appoints Andrew J. MacMillan as Senior Vice President of Corporate Communications
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1/12/99
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NASD Regulation Appoints James M. Cangiano to The NasTech Alliance
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1/6/99
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NASD Announces SEC Approval of OTC Bulletin Board Eligibility Rule
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