Triad Securities Corporation (CRD #11363, New York, New York) was censured and fined $12,000. According to the findings, the firm reported transactions to ACT in violation of applicable securities laws and regulations regarding trade reporting. In addition, the firm failed to establish, maintain and enforce the appropriate written supervisory procedures to ensure compliance with the NASD rules regarding trade reporting. The firm accepted the fine and censure but did not admit or deny the accusations.(NASD Case #CMS990045)
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