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Track Data Securities Corporation

Track Data Securities Corporation (CRD #103802, Brooklyn, New York) received a censure and fine of $15,000. According to the findings, the firm accepted customer short sale orders in certain securities and, for each order, failed to make an affirmative determination that the firm would receive delivery of the security on behalf of the customer or that the firm could borrow the security on behalf of the customer for delivery by settlement date. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040070)

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