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News Releases

December 8, 1998

NASD Announces Members of New Bond Market Transparency Committee
December 1, 1998

NASD Announces New Organizational Structure
November 24, 1998

NASD Names George Friedman Senior Vice President of Dispute Resolution
November 19, 1998

NASD Regulation Fines and Sanctions Paragon Capital and President $135,000
November 3, 1998

NASD Regulation Sanctions Olde Trader for Anti-Competitive Harassment of a Nasdaq Market Maker; Firm also Fined
November 2, 1998

NASD and AMEX Merger Completed the NASDAQ-AMEX Market Group Formed
November 2, 1998

NASD Regulation Fines Lexington Capital, President for Securities Violations; Both Ordered to Pay Restitution to Investors
November 2, 1998

NASD Announces Corporate Consolidation in Montgomery County, Maryland
October 22, 1998

SEC Approves List Selection Method for NASD Regulation Arbitration Forum
October 20, 1998

NASD Regulation Institutes Proceedings Against 59 Firms for Late Y2K Filings
October 19, 1998

NASD Announces Agreement-in-Principle with EDS to Create NasTech Alliance
October 8, 1998

NASD Board Approves Temporary Cease and Desist Authority Rule Filing
October 8, 1998

NASD Proposes Enhancements to Arbitration of Securities Industry Employment Discrimination Claims
October 1, 1998

Dennis Hensley to Head NASD Institute for Professional Development
September 30, 1998

NASD Regulation Charges LT Lawrence & Co., Inc. and Principals With Fraud
September 23, 1998

NASD Regulation Sanctions Hibbard, Brown Branch Managers
September 23, 1998

NASD Regulation Continues Microcap Market Focus; Complaints Name Brokers at Greenway Capital and Kensington Wells
September 16, 1998

NASD Regulation Fines DLJ $100,000 For Trading Halted Stock
September 15, 1998

NASD Regulation's Advanced Detection System Wins Awards From Smithsonian, Data Warehousing Institute, and Artificial Intelligence Association
September 10, 1998

NASD Appoints Michael D. Jones Chief Administrative Officer
September 10, 1998

NASD Regulation Fines Olde Discount Corp. $1.35 Million; Founder Ernest Olde Also Fined $500,000 and Suspended
September 9, 1998

NASD Announces Final Agreement With OptiMark Technologies
September 9, 1998

NASD Statement on the Importance of Transparency in America's Debt Market
August 7, 1998

NASD Board of Governors Approves Rule Changes and Amendments
July 27, 1998

NASD Regulation Fines Troster Singer for Intentional Late Trade Reporting; Six Brokers Also Sanctioned

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