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E*Trade Professional Trading, LLC

E*Trade Professional Trading, LLC (CRD #39293, New York, New York) received a censure and fine of $20,000. The firm was also required, within 30 days, to revise its written supervisory procedures with respect to the applicable securities laws and regulations concerning NASD Conduct Rule 3350. According to the findings, the firm executed short-sale transactions in NNM securities at or below the current inside bid when the current inside bid was below the preceding inside bid in the securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030201)

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