BOSC Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200015601 TO: Market Regulation Department NASD RE: Bosc, Inc., Respondent CRD No. 17530 Pursuant to Rule 9216 of NASD Code of Procedure, Bosc, Inc. ("BOKI" or the "firm") submits 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 BOKI alleging
Reference 2004200015601finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130392046 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BOSC, Inc., Respondent Broker-Dealer CRD No. 17530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BOSC, Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on
Reference 2013039204601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080136500-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BOSC, Inc., Respondent Broker-Dealer CRD No. 17530 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BOSC, Inc. ("BOKI or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2008013650001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C05050025 TO: Department of Enforcement NASD RE: BOSC, Inc., Respondent [CRD No. 17530] Pursuant to Rule 9216 of the NASD Code of Procedure, BOSC, Inc., submits 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 based on the same
Reference C05050025data-portal.finra.org finra.org

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