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News Releases

February 19, 1998

NASD Regulation Levies Largest Advertising Fine Ever; Fundamental Service Corp. and Two Senior Executives Sanctioned
February 17, 1998

NASD Creates Small Firm Advisory Board
February 17, 1998

NASD Appoints John L. Hilley Executive Vice President for Strategic Development
February 17, 1998

Media Alert
February 10, 1998

NASD Regulation Fines Morgan Stanley $35,000 and Orders $80,000 in Restitution for Failure to Give Best Execution
February 3, 1998

NASD Regulation Fines A.S. Goldmen & Co. $200,000 and Orders $1 Million-Plus in Restitution to Customers; President, Vice President, and Trader Also Sanctioned
January 22, 1998

NASD Launches New Worldwide Corporate Identity
January 22, 1998

NASD Board of Governors Approves Qualified Immunity Pilot Program; Four-Year Effort to Obtain More Regulatory Data
January 22, 1998

NASD Board of Governors Approves Limited Use of Related Performance Information in Mutual Fund Sales Materials
January 21, 1998

NASD Regulation Issues Complaint Against Monitor Investment Group, Inc. and 17 Principals, Brokers
January 15, 1998

NASD Members Approve New Board of Governors
January 5, 1998

NASD Regulation Charges Monroe Parker Securities, Inc., Principals With Manipulation, Fraud, And Excessive Markups
December 23, 1997

NASD Regulation to Track Year 2000 Readiness of Brokerage Firms
December 22, 1997

NASD Regulation Issues Complaint Against HGI, Maidstone Financial, and Principals of Both Firms; Fraud and Illegal Profits of $16.2 Million Alleged
December 22, 1997

NASD Regulation Bars Nicholas Rudi; Key Figure in Armacon Probe also Censured and Fined for Failure to Cooperate
December 17, 1997

Gregor S. Bailar Named Chief Information Officer of NASD and John M. Hickey Elevated to Chief Technology Officer of NASD
December 16, 1997

21 Brokerage Firms and a Bank Fined $325,000 for Violating MSRB Rules
December 15, 1997

NASD Appoints Diane E. Carter as Senior Vice President, Human Resources
December 11, 1997

NASD Approves Plan to Increase Electronic Trade Processing by Vendors
December 11, 1997

NASD Announces Changes of Micro-Cap Market
December 11, 1997

NASD Approves Bond Fund Pilot Program
December 11, 1997

NASD Investor Protection Initiatives - as of 01/09/98
November 14, 1997

NASD Regulation Statement on Bond Fund Ratings
November 6, 1997

NASD Regulation's 'Settlement Weeks' Register Major Successes; 90 Percent of Cases Resolved Through Special Program
October 21, 1997

NASD Regulation Fines Mayer & Schweitzer $200,000 for Failure to Provide Best Execution; As Well As Record-Keeping and Supervisory Violations

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