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Huss Services, Inc.

Huss Services, Inc. (CRD #2258, Norwich, New York) received a censure and fine of $10,000. The firm was also required, within 30 business days, to revise its written supervisory procedures with respect to applicable securities laws, regulations, and NASD rules concerning the Trade Reporting and Compliance Engine (TRACE) and OATS. According to the findings, the firm failed to report to TRACE transactions in TRACE-eligible securities within 45 minutes after execution and failed to timely report to OATS ROEs. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050065)

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