Trinix Securities LLC (CRD #103360, Encinitas, California) received a censure and fine of $10,000. According to the findings, the firm submitted to OATS reports with respect to equity securities traded on The Nasdaq Stock Market, Inc. that were not in the electronic form prescribed by NASD and were repairable in that the reports were rejected by OATS and notice of such rejection was made available to the firm on the OATS Web site, but the firm failed to correct or replace 90 percent of the reports. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040163)
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