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News Releases

March 9, 1999

NASD Appoints Salvatore F. Sodano as Chief Operating Officer
March 2, 1999

NASD Appoints Dan Crowley as Vice President, NASD Governmental Affairs
March 1, 1999

NASD Regulation Fines PaineWebber for Registration Violations
February 26, 1999

Frank G. Zarb Comments on Competition
February 11, 1999

NASD Regulation Expels Biltmore Securities, Inc., Bars Two Principals for Microcap Fraud, and Obtains Restitution and Funds for Investors
February 9, 1999

NASD Regulation Appoints David A. Leibowitz Senior Vice President and District Director of New York Office
February 8, 1999

NYSE Chair Richard Grasso, NASD Chair Frank Zarb,and Blue Ribbon Panel Co-Chairs Ira Millstein and John Whitehead announce "Ten Point Plan" to Improve Oversight of Financial Reporting Process
February 3, 1999

NASD Regulation and the New York Stock Exchange Jointly Fine Ragen MacKenzie, Inc. $125,000
January 27, 1999

NASD Regulation Names Stephen Luparello to Head Market Regulation as Senior Vice President
January 27, 1999

NASD Announces Officer Appointments and Promotions
January 26, 1999

NASD Issues Guidance to Brokerage Firms Regarding Sales Practices and Order Execution During Turbulent Market Conditions
January 21, 1999

Photo and Video Opportunity President Gerald R. Ford Joins NASD Board Rings Amex Opening Bell
January 21, 1999

NASD Board Approves Interpretive Material on Below-Market Conversion Rate Securities
January 15, 1999

NASD Regulation Postpones Access to Broker/Firm Disciplinary Information on the Internet; Increases Access to Public Disclosure Call Center
January 14, 1999

NASD Appoints Andrew J. MacMillan as Senior Vice President of Corporate Communications
January 12, 1999

NASD Regulation Appoints James M. Cangiano to The NasTech Alliance
January 6, 1999

NASD Announces SEC Approval of OTC Bulletin Board Eligibility Rule
December 22, 1998

NASD Regulation Sanctions and Fines VTR Capital, Inc. and Former President for Market Manipulation and Illegal Profits; Additional $300,000 Restitution Ordered
December 21, 1998

NASD Holds Annual Meeting
December 11, 1998

NASD Board Approves Agency Quote Proposal and Interim Approach to SOES/SelectNet Integration
December 8, 1998

NASD Announces Members of New Bond Market Transparency Committee
December 1, 1998

NASD Announces New Organizational Structure
November 24, 1998

NASD Names George Friedman Senior Vice President of Dispute Resolution
November 19, 1998

NASD Regulation Fines and Sanctions Paragon Capital and President $135,000
November 3, 1998

NASD Regulation Sanctions Olde Trader for Anti-Competitive Harassment of a Nasdaq Market Maker; Firm also Fined

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