Nex Systems
Type not stated

THE ATTAIN ECN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 2005000264801 TO: Department of Market Regulation NASD RE: Domestic Securities, Inc., d/b/a The Attain ECN, Respondent Broker/Dealer CRD Number 34721 Pursuant to Rule 9216 of NASD Code of Procedure, Domestic Securities, Inc. ("DOMS"), d/b/a The Attain ECN ("ATTN" 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

    Reference 2005000264801data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.