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News Releases

November 26, 2001

NASD Forms Economic Advisory Board for Rule Modernization Initiative
November 15, 2001

NASD Regulation Sanctions Seven for Trade or Move Violations
November 15, 2001

NASD Alerts Investors on Terrorism and Anthrax Investment Scams
November 6, 2001

NASD Dispute Resolution's Fifth Annual Settlement Month Extended to End of November
November 5, 2001

NASD Regulation Launches Redesigned and Enhanced Web Site
November 5, 2001

NASD Regulation Hearing Panel Fines Ko Securities and Its President for Illegal Short Selling
October 31, 2001

NASD Postpones TRACE Implementation Date
October 22, 2001

NASD Regulation Charges Three Traders in Stock Manipulation Scheme
October 12, 2001

The NASD Seeks Comment on Establishment of Criteria and Procedures for Expungements
September 27, 2001

NASD Companies Donate $1 Million to Aid Victims of September 11 Attacks
September 20, 2001

NASD Board Of Governors Elects Robert R. Glauber Chairman NASD Members Elect Seven New Governors to Board
September 14, 2001

The NASD Provides Investors With Contact Information
September 6, 2001

NASD Regulation Names John M. Gannon Director of Investor Education
September 5, 2001

NASD Regulation Inc. Appoints Cathleen Shine as Senior Vice President and District Director of its New York Office
August 22, 2001

NASD Board of Governors Approves Bond Transaction Reporting Committee
August 13, 2001

NASD Regulation Alerts Investors on "Stretch IRAs"
July 26, 2001

Robert Glauber and Wick Simmons Named to Replace Frank Zarb as Chairmen of NASD and NASDAQ
July 16, 2001

NASD Regulation Sanctions Ten Firms for Locked and Crossed Market Violations in Trading After Initial Public Offerings
July 9, 2001

NASD Regulation Censures and Fines E*Trade Securities $90,000 for Violations of Advertising and Supervision Rules
July 2, 2001

NASD Board of Governors Approves Proposed Rule to Strengthen Disclosures by Research Analysts
June 27, 2001

NASD Regulation Sanctions Eleven Firms for Trade or Move Violations
June 13, 2001

NASD Regulation Fines All-Tech, Houtkin, and Other Execs $380,000 for Day Trading and Advertising Violations; Suspends Individuals
June 7, 2001

NASD Regulation Settles Five Disciplinary Actions Involving Day-Trading
May 22, 2001

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
May 10, 2001

NASD CEO and President Robert Glauber Statement Regarding Harvey Pitt

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