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Track Data Securities Corporation

Track Data Securities Corporation (CRD #103802, Brooklyn, New York) received a censure and fine of $10,000. According to the findings, the firm failed to accept or decline ACT transactions in eligible securities within 20 minutes after execution for which the firm had no obligation. The regulators also found that the firmís supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws, regulations, and NASD rules relating to ACT reporting obligations. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS040199)

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