Win Capital Corp. (CRD #36172, Bayville, New York) received a censure and fine of $10,000. 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 regulators also found that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with 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 #CMS030066)
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