|
|
|
| |
|
12/26/01
|
NASD Adopts New Interpretation Regarding Transfer of Customer Accounts
|
|
12/17/01
|
NASD Regulation, Inc. Disciplines Two Ohio Brokerage Firms in Muni Bond Scheme
|
|
12/11/01
|
NASD Regulation Suspends and Fines Two Former Senior Vice Presidents of Parker/Hunter Inc. for Insider Trading
|
|
12/10/01
|
NASD Board Approves Rules Governing Quotation and Trade Reporting Facility
|
|
12/5/01
|
NASD Regulation Announces Two Enforcement Actions Involving Sales of Variable Annuity and Life Insurance Contracts
|
|
11/28/01
|
NASD Announces New TRACE Implementation Date
|
|
11/26/01
|
NASD Forms Economic Advisory Board for Rule Modernization Initiative
|
|
11/15/01
|
NASD Regulation Sanctions Seven for Trade or Move Violations
|
|
11/15/01
|
NASD Alerts Investors on Terrorism and Anthrax Investment Scams
|
|
11/6/01
|
NASD Dispute Resolution's Fifth Annual Settlement Month Extended to End of November
|
|
11/5/01
|
NASD Regulation Launches Redesigned and Enhanced Web Site
|
|
11/5/01
|
NASD Regulation Hearing Panel Fines Ko Securities and Its President for Illegal Short Selling
|
|
10/31/01
|
NASD Postpones TRACE Implementation Date
|
|
10/22/01
|
NASD Regulation Charges Three Traders in Stock Manipulation Scheme
|
|
10/12/01
|
The NASD Seeks Comment on Establishment of Criteria and Procedures for Expungements
|
|
9/27/01
|
NASD Companies Donate $1 Million to Aid Victims of September 11 Attacks
|
|
9/20/01
|
NASD Board Of Governors Elects Robert R. Glauber Chairman NASD Members Elect Seven New Governors to Board
|
|
9/14/01
|
The NASD Provides Investors With Contact Information
|
|
9/6/01
|
NASD Regulation Names John M. Gannon Director of Investor Education
|
|
9/5/01
|
NASD Regulation Inc. Appoints Cathleen Shine as Senior Vice President and District Director of its New York Office
|
|
8/22/01
|
NASD Board of Governors Approves Bond Transaction Reporting Committee
|
|
8/13/01
|
NASD Regulation Alerts Investors on "Stretch IRAs"
|
|
7/26/01
|
Robert Glauber and Wick Simmons Named to Replace Frank Zarb as Chairmen of NASD and NASDAQ
|
|
7/16/01
|
NASD Regulation Sanctions Ten Firms for Locked and Crossed Market Violations in Trading After Initial Public Offerings
|
|
7/9/01
|
NASD Regulation Censures and Fines E*Trade Securities $90,000 for Violations of Advertising and Supervision Rules
|
|
7/2/01
|
NASD Board of Governors Approves Proposed Rule to Strengthen Disclosures by Research Analysts
|
|
6/27/01
|
NASD Regulation Sanctions Eleven Firms for Trade or Move Violations
|
|
6/13/01
|
NASD Regulation Fines All-Tech, Houtkin, and Other Execs $380,000 for Day Trading and Advertising Violations; Suspends Individuals
|
|
6/7/01
|
NASD Regulation Settles Five Disciplinary Actions Involving Day-Trading
|
|
5/22/01
|
NASD Regulation Hearing Panel Orders Josephthal & Co, Inc., Two Execs to Pay $3.3 Million in Fines and Restitution for Fraud and Unfair Dealing With Customers
|
|
5/10/01
|
NASD CEO and President Robert Glauber Statement Regarding Harvey Pitt
|
|
5/10/01
|
NASD Dispute Resolution to Provide Arbitration Awards Online
|
|
5/7/01
|
NASD Regulation Board of Governors Approves Rule Interpretation on Transfer of Customer Accounts
|
|
4/18/01
|
NASD Regulation Censures and Fines Stifel, Nicolaus & Company, and Two Individuals for the Unsuitable Sale of Class B Mutual Fund Shares
|
|
4/5/01
|
NASD Regulation Fines Banc One Capital Markets, Inc. $1.8 Million for Net Capital, Customer Reserve and Recordkeeping Violations
|
|
3/31/01
|
NASD Regulation and NASAA Joint Statement NASD Regulation Addresses Programming Problem With Central Registration Depository
|
|
3/20/01
|
NASD Regulation Issues Policy Statement to Brokerage Firms Regarding Suitability in Online Activities and Communications
|
|
2/15/01
|
NASD Regulation Files Six Enforcement Actions Involving Marketing and Sales of Variable Annuities
|
|
2/8/01
|
NASD Regulation Censures and Fines Datek Online Brokerage Services for Incorrect Confirmation Disclosure and Supervisory Failures
|
|
2/2/01
|
NASD Regulation's National Adjudicatory Council Sanctions Former Monitor Investment Group Executives
|
|
1/29/01
|
NASD Board of Governors Appoints Four New Members to the National Adjudicatory Council; and Names New Council Chair and Vice Chair
|
|
1/22/01
|
NASD Files Arbitration Rule Amendment to Give Investors Greater Flexibility in Settling Disputes with Suspended, Expelled or Out-of-Business Firms
|
|
1/17/01
|
Quill Corporation and NASD Enter Agreement to Form Marketing Partnership
|
|
1/11/01
|
NASD Regulation Launches Investor Alert; First Alert Focuses on Improper Sale of Promissory Notes
|
|
1/11/01
|
NASD Names Douglas Shulman Executive Vice President, Corporate Development, Strategy and Technology
|
|
1/8/01
|
NASD Regulation Bars John Fiero, Expels Fiero Brothers, Inc., and Imposes $1 Million Fine For Illegal Short Sales, Market Manipulation and Extortion
|
