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News Releases

June 12, 2000

Botta Trading Fined and Censured Following Joint Amex and CBOE Investigation
June 8, 2000

NASD Regulation Files Complaint Against LH Ross for Taping Rule Violation
June 6, 2000

NASD Regulation Fines J. P. Morgan $200,000 for Limit Order Violations
May 30, 2000

NASD Members Elect Seven Governors to Board
May 24, 2000

SEC Approves Trade and Quote Halt Authority in OTCBB Securities
May 23, 2000

NASD Regulation Sanctions Steven Ehlers for Trading Ahead of Research
May 16, 2000

NASD Regulation Fines Kemper Distributors $100,000 for Mutual Fund Advertisement Violations
May 10, 2000

Office of Dispute Resolution Launches the Single Arbitrator Pilot Program
May 4, 2000

Amex Permanently Bars Floor Booth Clerk for Improper Trading, Falsifying Clearing Records, and Making False Statements
May 2, 2000

NASD Regulation Censures and Fines E*TRADE Securities
April 27, 2000

NASD Regulation Provides Investors Increased Information Regarding Trading on Margin
April 27, 2000

NASD Regulation Launches New Electronic Investing Web Pages
April 14, 2000

NASD Restructuring Wins in Landslide Vote of the Members
April 13, 2000

NASD Pleased with Court Action
April 6, 2000

Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
April 5, 2000

NASD Institute for Professional Development to Launch Phase I of Certificate Program Certificate Candidates to Begin Classes at the Wharton School
March 22, 2000

NASD Regulation Promotes Company Officer to Executive Vice President; Four Staff to Vice President
March 16, 2000

NASD Regulation Charges Global Equities Group, Inc. and Five Employees with Fraud and Stock Manipulation
March 13, 2000

NASD Launches Member Vote on Restructuring and Opens Subscription Period for the Initial Phase of Nasdaq Private Placement
March 9, 2000

NASD Fines Prudential Securities $100,000 for Seeking to Undermine Competition for IPO Underwriting Services
March 7, 2000

NASD Calls on the SEC to Delay Decimalization
March 2, 2000

NASD Regulation Issues Complaint Against Former CEO and 11 Brokers of State Capital Markets Corporation
February 28, 2000

NASD Regulation Expels LT Lawrence & Co., Inc., Bars Principals for Fraud, and Obtains $275,000 in Restitution for Investors
February 24, 2000

NASD Regulation Announces Eight Day-Trading Enforcement Actions
February 22, 2000

NASD Appoints Gordon F. Martin Chief Financial Officer

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