![]() ![]() ![]() (CRD #15794, New York, New York)īNP Paribas Securities Corp. Reporting and Compliance Engine the correct trade execution time for transactions in TRACE-eligible securitized products."īNP Paribas Securities Corp. consented to a censure and $17,500 fine for allegedly failing to "transmit Reportable Order Events to the Order Audit Trail System on 30 business days."Īuriga USA, LLC (CRD #121731, New York, New York)Īuriga USA, LLC has consented to a censure and $10,000 fine for allegedly failing to "report to the Trade (CRD #39673, New York, New York)Īufhauser Securities, Inc. MAY 2014 SELECTED FINRA ENFORCEMENT ACTIONSĪBN AMRO Clearing Chicago LLC (CRD #14020, Chicago, Illinois)ĪBN AMRO Clearing Chicago LLC consented to a censure and $95,000 fine for allegedly failing "to report short interest positions to the New York Stock Exchange and FINRA on certain settlement dates, and submitt to FINRA an inaccurate short-interest position report." FINRA found that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to the applicable securities laws and regulations, and FINRA and NASD rules, concerning short-interest reporting."Īufhauser Securities, Inc.
0 Comments
Leave a Reply. |