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News Releases

October 4, 2000

NASD Regulation Comments on Court-Ordered Arbitration Expungements
September 28, 2000

NASD Regulation Hearing Panel Expels Premier Capital Management and Fines and Suspends Firm President and Broker for Stock Touting and Fraudulent Advertising
September 27, 2000

NASD Dispute Resolution Kicks Off Settlement Month; Lower Mediation Prices for October
August 22, 2000

NASD Regulation Censures and Fines E*TRADE Securities, Inc. for Failing to Submit Short Interest Reports to NASD Regulation for 28 Months
August 22, 2000

NASD Dispute Resolution Names Board of Directors
August 17, 2000

NASD's National Adjudicatory Council Finds Traders Aided and Abetted in Market Manipulation
August 17, 2000

NASD Board of Governors Votes to Improve Rule Proposal on Trading in Initial Public Offerings
August 15, 2000

NASD Regulation Fines WMA Securities, Inc. $125,000 for Failure to Report Customer Complaints
August 15, 2000

NASD Regulation Expels R.D. White & Co., Inc., Sanctions Principals for Fraud and Recovers $400,000 in Restitution for Investors
August 15, 2000

NASD's National Adjudicatory Council Sanctions Former Monroe Parker Director of Trading and Director of Compliance
August 4, 2000

Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
July 27, 2000

NASD Board of Governors Approves Disclosure Statement for Margin Accounts
July 27, 2000

Robert R. Glauber Named CEO and President of NASD Richard G. Ketchum Named President of Nasdaq Frank G. Zarb Continues as NASD Chairman and Nasdaq Chairman and CEO during Transition Period
July 21, 2000

NASD Regulation Charges San Clemente Securities, Execs with Fraud
July 17, 2000

NASD Regulation Files Action Against Day-Trading Firm for Registration and Supervisory Violations
July 17, 2000

NASD Launches New Dispute Resolution Subsidiary
July 17, 2000

NASD Regulation Charges All-Tech, Houtkin, and Others with Day Trading and Advertising Violations
June 15, 2000

NASD Regulation Fines First Union Securities, Inc. $350,000 and Fines and Suspends Former Executives for Books and Records and Supervisory Violations Arising from Payments to Armacon Securities, Inc.
June 13, 2000

NASD's Frank Zarb Presents Testimony on the NASD's Preparedness for Decimalization
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

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