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News Releases

August 18, 1999

NASD Selected by CIO Magazine as a Top 100 Company to Excel in the 21st Century
August 9, 1999

David S. Pottruck Elected to NASD Board of Governors
August 9, 1999

NASD Regulation Commends Day-Trading Study
August 5, 1999

NASD Arbitration Forum Overwhelmingly Praised for Fairness According to Independent Survey
July 29, 1999

NASD Regulation's Board of Governors Approves Soliciting Comment on Proposed Exemptions From Advertising Requirements
July 29, 1999

NASD Board Approves Steps Toward a Broader Stock-Based Restructuring of The Nasdaq Stock Market
July 29, 1999

NASD Board Approves a Bond Trade Reporting and Transaction Dissemination Facility
July 29, 1999

NASD Board Approves Proposed Rule for Opening Day-Trading Accounts
July 22, 1999

NASD Opposes SEC Approval of NYSE's Anti-Competitive Amendment to Rule 500
July 15, 1999

NASD Regulation Fines Coleman & Company Securities, Inc. $200,000for Unjustified Termination of Firm Commitment Underwriting
July 15, 1999

NASD Regulation Kicks Off Settlement Month and Offers Special Prices for Mediation Services
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

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