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CRT Capital Group LLC

CRT Capital Group LLC (CRD #28830, Stamford, Connecticut) received a censure and fine of $11,000. The firm was also required, within 30 business days, to revise its written supervisory procedures with respect to applicable securities laws, regulations, and NASD rules concerning trade reporting. According to the findings, the firm failed, within 90 seconds of execution, to transmit through the Automated Confirmation Transaction ServiceSM (ACTSM) last sale reports of transactions in Over-the-Counter (OTC) Equity securities; failed to designate through ACT last sale reports as late; and incorrectly designated as ".SLD" through ACT last sale reports of transactions in OTC Equity 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 #CMS040045)

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