12/15/00		NASD Regulation Sanctions Providential Securities, Inc. and Bars Principal, Henry Fahman
12/7/00		NASD Board of Governors Approves Resolution on Analyst Disclosure
12/7/00		NASD Names Howard M. Schloss Senior Vice President, Communications and Government Relations
12/6/00		The American Stock Exchange, NASD Regulation, and the New York Stock Exchange Jointly Fine Morgan Stanley & Co. Incorporated $200,000
11/29/00		NASD Regulation Sanctions Asensio & Company; Manuel Asensio, for Short Selling, Trade Reporting, and Internet Advertising Violations
11/27/00		NASD Names Sal Sodano Vice Chairman
11/22/00		NASD Regulation Fines Merrill Lynch, Pierce, Fenner & Smith, Inc. $97,000 for Limit Order, Best Execution, and Other Violations
11/20/00		NASD Regulation Charges Dean Witter Reynolds Inc. With Securities Fraud and Other Violations Related to the Marketing and Sales of Term Trusts; Two Individuals Also Charged
11/6/00		Robert R. Glauber Becomes NASD CEO and President
10/12/00		NASD Board Approves Creation of New Order Delivery System for OTC Bulletin Board
10/4/00		NASD Regulation Comments on Court-Ordered Arbitration Expungements
9/28/00		NASD Regulation Hearing Panel Expels Premier Capital Management and Fines and Suspends Firm President and Broker for Stock Touting and Fraudulent Advertising
9/27/00		NASD Dispute Resolution Kicks Off Settlement Month; Lower Mediation Prices for October
8/22/00		NASD Dispute Resolution Names Board of Directors
8/22/00		NASD Regulation Censures and Fines E*TRADE Securities, Inc. for Failing to Submit Short Interest Reports to NASD Regulation for 28 Months
8/17/00		NASD Board of Governors Votes to Improve Rule Proposal on Trading in Initial Public Offerings
8/17/00		NASD's National Adjudicatory Council Finds Traders Aided and Abetted in Market Manipulation
8/15/00		NASD Regulation Expels R.D. White & Co., Inc., Sanctions Principals for Fraud and Recovers $400,000 in Restitution for Investors
8/15/00		NASD Regulation Fines WMA Securities, Inc. $125,000 for Failure to Report Customer Complaints
8/15/00		NASD's National Adjudicatory Council Sanctions Former Monroe Parker Director of Trading and Director of Compliance
8/4/00		Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
7/27/00		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
7/27/00		NASD Board of Governors Approves Disclosure Statement for Margin Accounts
7/21/00		NASD Regulation Charges San Clemente Securities, Execs with Fraud
7/17/00		NASD Regulation Files Action Against Day-Trading Firm for Registration and Supervisory Violations
7/17/00		NASD Launches New Dispute Resolution Subsidiary
7/17/00		NASD Regulation Charges All-Tech, Houtkin, and Others with Day Trading and Advertising Violations
6/15/00		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.
6/13/00		NASD's Frank Zarb Presents Testimony on the NASD's Preparedness for Decimalization
6/12/00		Botta Trading Fined and Censured Following Joint Amex and CBOE Investigation
6/8/00		NASD Regulation Files Complaint Against LH Ross for Taping Rule Violation
6/6/00		NASD Regulation Fines J. P. Morgan $200,000 for Limit Order Violations
5/30/00		NASD Members Elect Seven Governors to Board
5/24/00		SEC Approves Trade and Quote Halt Authority in OTCBB Securities
5/23/00		NASD Regulation Sanctions Steven Ehlers for Trading Ahead of Research
5/16/00		NASD Regulation Fines Kemper Distributors $100,000 for Mutual Fund Advertisement Violations
5/10/00		Office of Dispute Resolution Launches the Single Arbitrator Pilot Program
5/4/00		Amex Permanently Bars Floor Booth Clerk for Improper Trading, Falsifying Clearing Records, and Making False Statements
5/2/00		NASD Regulation Censures and Fines E*TRADE Securities
4/27/00		NASD Regulation Provides Investors Increased Information Regarding Trading on Margin
4/27/00		NASD Regulation Launches New Electronic Investing Web Pages
4/14/00		NASD Restructuring Wins in Landslide Vote of the Members
4/13/00		NASD Pleased with Court Action
4/6/00		Seven Brokerage Firms Settle NASD Regulation Charges of Yield Burning
4/5/00		NASD Institute for Professional Development to Launch Phase I of Certificate Program Certificate Candidates to Begin Classes at the Wharton School
3/22/00		NASD Regulation Promotes Company Officer to Executive Vice President; Four Staff to Vice President
3/16/00		NASD Regulation Charges Global Equities Group, Inc. and Five Employees with Fraud and Stock Manipulation
3/13/00		NASD Launches Member Vote on Restructuring and Opens Subscription Period for the Initial Phase of Nasdaq Private Placement
3/9/00		NASD Fines Prudential Securities $100,000 for Seeking to Undermine Competition for IPO Underwriting Services
3/7/00		NASD Calls on the SEC to Delay Decimalization
3/2/00		NASD Regulation Issues Complaint Against Former CEO and 11 Brokers of State Capital Markets Corporation
2/28/00		NASD Regulation Expels LT Lawrence & Co., Inc., Bars Principals for Fraud, and Obtains $275,000 in Restitution for Investors
2/24/00		NASD Regulation Announces Eight Day-Trading Enforcement Actions
2/22/00		NASD Appoints Gordon F. Martin Chief Financial Officer
2/16/00		NASD Economic Advisory Board Announces Addition of Three New Members
2/15/00		1999 Settlement Month Program Doubles Mediation Cases; New Mediation Form Provided on Web Site
2/2/00		NASD Regulation Charges U.S. Rica Financial, Inc.; Firm President with Obtaining Secret Profits from Customers
1/28/00		Amex Suspends Trading Floor Employee for Conduct Found Improper by the NYSE
1/27/00		NASD Board Approves Limit Order Pilot Protection Program for the OTC Bulletin Board
1/24/00		NASD Regulation's Office of Dispute Resolution Participates in SICA's Pilot Program; Offers Parties a Non-SRO Forum for Dispute Resolution
1/24/00		NASD's National Adjudicatory Council Fines Morgan Stanley, Inc. $495,000 for Manipulation and Locked and Crossed Markets; Fines Firm Traders
1/20/00		NASD Regulation Charges Josephthal & Co., Inc. and Top Execs with Fraud and Unfair Dealing With Customers
1/19/00		NASD Launches the NASD Institute for Professional Development and Appoints Gary L. Tidwell Executive Director
1/4/00		NASD Board Unanimously Approves Major Restructuring