What's New 08.31.04 News Release NASD Granted First Temporary Cease And Desist Order To Stop Ongoing Fraud By Brokerage LH Ross 08.24.04 Notice to Members SEC Announces Immediate Effectiveness of the Deletion of IM-2210-4(b) and Rule Series 3400 as Obsolete; Effective Date: August 10, 2004 08.24.04 News Release NASD Given New Authority To Discipline Former Brokers Who Fail To Pay Arbitration Awards, Settlements 08.20.04 Notice to Members New SEC Procedures Relating to Section 31 of the Securities Exchange Act of 1934 08.19.04 News Release NASD Orders First-Ever Suspension Of Mutual Fund Business And $600,000 In Sanctions Against National Securities Corp. For Deceptive Market Timing Practices Archive of Recent Announcements

Investor Information Before investing, NASD recommends that you familiarize yourself with our Investor Education Web site. This information will help you make more informed investment decisions. View a complete Listing of NASD Investor Alerts Check Out a Broker with NASD BrokerCheck Take Our Investor Knowledge Quiz View Additional NASD Investor Education Information 2004 NASD Fall Securities Conference NASD's annual Fall Securities Conference provides opportunities for financial services professionals to learn about and discuss the latest developments in securities regulation. October 13-15, 2004 Rancho Mirage, CA More Details Find information about other NASD conferences and education and training opportunities.

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