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News Releases

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
August 7, 1997

NASD Board Approves New Taping Rule and Approves Order Audit Trail System Implementation
August 7, 1997

NASD Announces SEC Approval of Proposed Code of Procedure and New Membership Rules
August 7, 1997

NASD Proposes Eliminating Mandatory Arbitration of Employment Discrimination Claims for Registered Brokers
July 23, 1997

NASD Regulation, Inc., Bars 20 More Registered Representatives Suspected of Using an Impostor to Take Qualification Examination
July 22, 1997

NASD Regulation Enhances Web Site; Worldwide Regulatory Links and Treasury Department Connection Added
July 21, 1997

NASD Regulation Board Votes to Send Debt Mark-Up and Electronic Communications Rules to Sec; Public Comment Requested on Two New Items
July 14, 1997

NASD Regulation Names Mary Alice Brophy Executive Vice President for Member Regulation
June 26, 1997

Nancy Kassebaum Baker Elected to NASD Board of Governors
June 26, 1997

Jon S. Corzine Elected to NASD Board of Governors
June 26, 1997

NASD Announces Plan for Restructuring Boards to Streamline Decision Making
June 25, 1997

Nancy Kassebaum Baker Nominated to NASD Board of Governors
June 12, 1997

NASD Regulation Suspends, Fines, and Censures 15 Brokers at H.J. Meyers & Co., Inc. for Overcharging Customers
June 3, 1997

NASD Seeks Public and Industry Comment on Decimalization
June 2, 1997

NASD Appoints Two Senior Executives-Salvatore F. Sodano Named CFO Robert D. Leahy Named Senior Vice President, Corporate Communications
May 16, 1997

NASD Regulation Fines and Censures First Albany in First Case Against ARMACON
May 13, 1997

NASD Regulation Details A.R. Baron Regulatory History
April 25, 1997

NASD Regulation Appoints Municipal Securities Compliance Regulator
April 21, 1997

NASD Regulation Create New Advertising Investigating Unit
March 12, 1997

NASD Regualtion Censures and Fines Smith Barney and Lehman Brothers $250,000 Each; Orders $5.6 Million in Refunds to Customers
March 3, 1997

NASD Regulation Announces New Regional Directors for Dispute Resolution Office
February 19, 1997

NASD Launches Major Public Disclosure, Investor Education Initiative
January 28, 1997

Frank G. Zarb Named Chief Executive Officer of NASD

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