Highbridge Capital Corporation (CRD #30208, Cayman Island, B.W.I.) received a censure and fine of $15,000. The firm was also required, within 30 business days, to revise its written supervisory procedures with respect to applicable securities laws and regulations and NASD rules concerning the Order Audit Trail SystemSM (OATSSM). According to the findings, the firm failed to submit required information to OATS in 196 business days. The regulators also found that the firmís supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to applicable securities laws and regulations and NASD rules concerning OATS. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040100)
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