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Olympic Trading & Investments, Inc., n/k/a NT Securities LLC

Olympic Trading & Investments, Inc., n/k/a NT Securities LLC (CRD #45694, Monroe, Louisiana) received a censure and fine of $10,000. Additionally, the firm was required to revise its written supervisory procedures. According to the findings, the firm failed to transmit to OATS reports containing each applicable item of order information identified in NASD Marketplace Rule 6954. Additionally, the regulators stated that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to applicable securities laws, regulations, and NASD rules concerning OATS. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS010176)

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