Trautman Wasserman & Company, Inc. (CRD #33007, New York, New York) received a censure and fine of $12,000. The firm was also required, within 30 business days, to revise its written supervisory procedures concerning OATS. According to the findings, the firm submitted to OATS reports with respect to equity securities traded on The NASDAQ Stock Market that were not in the electronic form prescribed by NASD. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030040)
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