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News Releases

October 10, 1996

Criminal and Public Administrative and Cease-and-Desist Proceedings Announced Against 45 in Connection with Kickback Schemes
September 30, 1996

NASD Regulation Fines Alex. Brown & Sons, and Registered Representative $150,000; Another $150,000 in Disgorgement Ordered
September 19, 1996

NASD Regulation Names New Director of Advertising/Investment Companies Regulation
September 4, 1996

NASD Regulation Announces Appointment of Deputy Chief Hearing Officer
August 27, 1996

NASD Regulation, Inc. Bars 12 Registered Representatives Suspected of Having an Impostor Take a Qualification Examination on Their Behalf
August 22, 1996

NASD Regulation Launches World Wide Web Page with Investor Guidelines and Direct Access to Regulators
August 22, 1996

NASD Regulation President Mary L. Schapiro Announces Internet Education Program; Investors Warned to Beware of On-Line Hype
August 21, 1996

NASD Regulation Fines Citicorp Securities $25,000; Orders $300,000 in Disgorgement
August 7, 1996

NASD Regulation Marks First-Year Anniversary of Mediation in the Securities Industry
July 25, 1996

NASD Regulation Obtains $1 Million-Plus In Restitution for Investors from H.J. Meyers; Fines of Nearly $500,000 Imposed
July 19, 1996

NASD Regulation Fines Amsouth Investment Services $150,000 for Mutual Fund Sales Violations
July 17, 1996

Statement by the NASD on Department of Justice Settlement
July 9, 1996

Individual Investor Office Established by NASD
July 2, 1996

NASD Chairman Tully Names Search Committee to Find Successor to Nasd President and CEO Hardiman
July 1, 1996

Merrill Lynch Chief Executive Dan Tully Elected NASD Chairman
June 24, 1996

NASD Regulation Hires Barry R. Goldsmith,Chief Sec Litigator,to Head National Enforcement Department
June 12, 1996

NASD Regulation Honored with Technology Awards
June 5, 1996

Annapolis Area Executive Daniel M. Sibears Promoted to Vice President for District Oversight, Nasd Regulation, Inc.
May 16, 1996

NASD Regulation Announces New Reorganization; Strengthens Regulatory and Enforcement Staff
May 16, 1996

NASD Regulation Hires Senior Securities Industry Expert
May 13, 1996

NASD Orders Fines and Restitution of Nearly $600,000 Against Josephthal, Lyon & Ross, Inc; Imposes Additional Sanctions
April 15, 1996

NASD Names New Senior Officials
April 9, 1996

NASD Fines and Censures Gruntal & Co.
April 8, 1996

NASD Fines Stratton Oakmont $325,000 for Fraud and Other Violations;Suspends and Fines Head Trader
April 1, 1996

NASD Names Board Members for Nasd, Inc., Nasd Regulation, Inc., and the Nasdaq Stock Market, Inc.

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