Nex Systems
Type not stated

BISYS FUND SERVICES LIMITED PARTNERSHIP RESPONDENT

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/27/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112004043501 TO: Department of Enforcement NASD RE: Bisys Fund Services Limited Partnership, Respondent BD No. 15634 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against us alleging violations

    Reference E112004043501data-portal.finra.orgfinra.org

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