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News Releases

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
October 16, 1997

NASD Regulation Brings Sales Practice Charges Against 33 Former Stratton Oakmont Principals and Brokers
October 9, 1997

NASD Board of Governors Approves 1998 Board Nominees
October 9, 1997

NASD Announces a Temporary Fee Reduction for SelectNet Trades
October 9, 1997

NASD Board Approves New Integrated Order-Delivery and Execution System
October 1, 1997

NASD Regulation Issues Complaint Against Hampton Capital Management Corp., CEO, and Employee for Denying Inspection
September 11, 1997

NASD Regulation Disciplinary Committee Bars La Jolla Capital From Penny Stock Transactions; and Orders Fines and Restitution of More Than $950,000
September 9, 1997

NASD and NICE Announce Free Web-Based Investment Teaching Guide
September 4, 1997

NASD Regulation Marks Second Anniversary of Mediation Program; New 'Settlement Weeks' Announced
August 14, 1997

NASD Regulation Fines GKN Securities and 29 Brokers $725,000; Firm Must Also Pay $1.4 Million in Restitution to Investors
August 13, 1997

D.H. Blair and Top Officials to Pay $4.9 Million in Fines and Restitution
August 7, 1997

NASD Announces Audit Report Findings of Independent Consultant

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