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KBC Financial Products USA, Inc.

KBC Financial Products USA, Inc. (CRD #46709, New York, New York) received a censure and fine of $10,000. According to the findings, the firm failed, within 90 seconds after execution, to transmit through ACT last-sale reports of transactions in NASDAQ National Market® (NNM®), NASDAQ SmallCapSM (SCSM), and Consolidated Quotation Service (CQS) securities. Additionally, the NASD found that the firm incorrectly designated as ".SLD" through ACT last-sale reports of transactions in NNM securities and CQS securities reported to ACT within 90 seconds of execution. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020163)

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