Credit Suisse First Boston Corporation (CRD #816, New York, New York) received a censure and fine of $15,500. According to the findings, the firm failed to report to ACT the correct symbol indicating whether the transaction was a buy, sell, sell short, sell short exempt, or cross for transactions in eligible securities. The regulators also found that the firm failed to display immediately customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved the firm's bid or offer in each such security. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS030293)
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