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Trend Trader, LLC

Trend Trader, LLC (CRD #43635, Scottsdale, Arizona) received a censure and fine of $10,000, jointly and severally. According to the findings, the firm conducted a securities business while failing to maintain the required minimum net capital. The regulators also found that the firm, acting through a registered representative, engaged in a municipal securities business without registering with and paying the required fee to the Municipal Securities Rulemaking Board (MSRB), without having qualified the firm and a municipal securities principal as required by the MSRBís rules, and without having a qualified municipal securities principal. Additionally, the NASD determined that the firm, acting through an individual, failed to adopt, maintain, and enforce written supervisory procedures reasonably designed to ensure that the firmís conduct of a municipal securities business was in compliance with applicable provisions of law, regulations, and MSRB rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C3A050001)

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