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Wien Securities Corporation

Wien Securities Corporation (CRD #10467, Jersey City, New Jersey) received a censure and fine of $30,500. 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 limit order display; firm quote; limit order protection; best execution; order execution and routing information; the three-quote rule; short sales; "Chinese Walls"; trade reporting; books and records; locked/crossed markets; and OATS compliance. The firm accepted the fine and censure but did not admit or deny the accusations.

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