Skip to main content

You are here

News Releases

January 27, 1999

NASD Regulation Names Stephen Luparello to Head Market Regulation as Senior Vice President
January 27, 1999

NASD Announces Officer Appointments and Promotions
January 26, 1999

NASD Issues Guidance to Brokerage Firms Regarding Sales Practices and Order Execution During Turbulent Market Conditions
January 21, 1999

Photo and Video Opportunity President Gerald R. Ford Joins NASD Board Rings Amex Opening Bell
January 21, 1999

NASD Board Approves Interpretive Material on Below-Market Conversion Rate Securities
January 15, 1999

NASD Regulation Postpones Access to Broker/Firm Disciplinary Information on the Internet; Increases Access to Public Disclosure Call Center
January 14, 1999

NASD Appoints Andrew J. MacMillan as Senior Vice President of Corporate Communications
January 12, 1999

NASD Regulation Appoints James M. Cangiano to The NasTech Alliance
January 6, 1999

NASD Announces SEC Approval of OTC Bulletin Board Eligibility Rule
December 22, 1998

NASD Regulation Sanctions and Fines VTR Capital, Inc. and Former President for Market Manipulation and Illegal Profits; Additional $300,000 Restitution Ordered
December 21, 1998

NASD Holds Annual Meeting
December 11, 1998

NASD Board Approves Agency Quote Proposal and Interim Approach to SOES/SelectNet Integration
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

Pages