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OTA Limited Partnership

OTA Limited Partnership (CRD #25816, Purchase, New York) received a censure and fine of $10,000. According to the regulators, the firm engaged in a practice or pattern of late transaction reporting without exceptional circumstances. Apparently, the firm failed to report securities transactions to ACT within the appropriate time limit. In addition, the firm failed to designate each transaction as late to ACT. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000211)

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