PDF September 19, 1995 Paper Executive Summary of the Report of the NASD Select Committee on Structure and Governance (Rudman Committee) to the NASD Board of Governors
PDF July 17, 1996 Paper United States of America v. Alex. Brown & Sons, Inc. et al: Stipulation and Order
PDF August 8, 1996 Paper SEC Release: SEC Announces Settlement with NASD and Issues Report of Investigation
PDF October 1996 Paper United States of America v. Alex. Brown & Sons, Inc. et al: Response of United States to Public Comments
PDF November 11, 1995 Paper Report from Joseph R. Hardiman, NASD to the Securities Industry Association Conference
PDF November 8, 1996 Paper Opening Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
PDF November 8, 1996 Paper Closing Statement by Joseph R. Hardiman, NASD to the Securities Industry Association Conference
PDF January 23, 1997 Paper “The Future of Self Regulation” – Address by Joseph R. Hardiman, NASD to the Securities Regulation Institute
PDF July 16, 1997 Paper Letter from Richard Lindsey, SEC Division of Market Regulation to Richard Ketchum, NASD and Mary Schapiro, NASD Regulation on compliance with the firm quote rule
