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News Releases

July 14, 1999

NASD's Regulatory Sanctions Trader for Limit Order Violations
July 13, 1999

Amex Fines and Suspends Member for Authorizing Discretionary Trading by an NYSE Floor Broker
July 8, 1999

NASD Regulation Fines Pruco Securities $20 Million
July 7, 1999

NASD Regulation Censures and Fines On-Site Trading, Inc. For Registration Violations
July 6, 1999

NASD Regulation Hearing Panel Expels Monroe Parker Securities and Bars Principals; Fines in Excess of $8 Million Imposed
June 23, 1999

NASD Regulation Censures and Fines Lehman Brothers $100,000 for Short Sale, Confirmation Disclosure, and Free-Riding Violations
June 23, 1999

NASD's Frank Zarb Asks Securities Industry to Embrace Change
June 10, 1999

President's Year 2000 Council, SEC, NASD, SIA Team Up to Educate Investors About Y2K Preparations
June 2, 1999

NASD and EDS Form Strategic Relationship
June 1, 1999

Amex Censures, Fines, and Bars Pasquale Schettino
May 27, 1999

NASD Board Approves Preparation for Extended Trading Hours Calls on Industry to Proceed Jointly and Responsibly
May 19, 1999

NASD's National Adjudicatory Council Fines A.S. Goldmen & Co. $150,000; Orders Restitution to Customers; Sanctions and Fines Firm Execs
May 19, 1999

Edward S. Knight to Join NASDTreasury's General Counsel to be NASD's Chief Legal Officer
April 28, 1999

NASD Regulation Charges R.D. White & Co., Inc. and Its Principals with Fraud and Receiving Illicit Profits in Excess of $3.5 Million
April 23, 1999

NASD and NYSE Jointly Announce Moment of Reflection and Remembrance for Victims in Littleton, Colorado
April 22, 1999

The NASD and Philadelphia Stock Exchange Terminate Merger Discussions
April 20, 1999

NASD Regulation Appoints Alan M. Wolper District Director of Atlanta Office
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 Regulation To Solicit Comment on Proposed Rules for Day Trading Activities
March 25, 1999

NASD Board Approves Proposed Pilot of Locked and Crossed Market Rule

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