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News Releases

April 20, 1999

NASD Issues Notice on Margin Issues and Practices
April 13, 1999

NASD Intends to Open Shanghai Office Plans Announced Today During Visit by Chinese Premier Zhu Rongji
April 8, 1999

NASD Regulation Issues Guidance to Investors on Purchasing Securities on Margin
March 29, 1999

NASD Regulation Sanctions and Fines 10 Sterling Foster Brokers For Fraudulent "Boiler Room" Sales Practices; Orders $1.1 Million Restitution
March 29, 1999

OTC Bulletin Board Trading Symbols Appended for Delinquent Filers
March 25, 1999

NASD Board Approves Trading Halts for News Independent of Issuer Notification
March 25, 1999

NASD Board Approves Proposed Pilot of Locked and Crossed Market Rule
March 25, 1999

NASD Board Approves "Trade or Move" Quotation Proposal
March 25, 1999

NASD Board Approves Pilot Program to Reduce Market Data Fees for Individual Investors
March 25, 1999

NASD Regulation To Solicit Comment on Proposed Rules for Day Trading Activities
March 24, 1999

NASD Regulation Bars Pacific Cortez Securities, Formerly La Jolla Capital Corp., From Penny Stock Transactions
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

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