HomeWorld NewsBroker-Dealer Settles NYSE American Charges For Improper Floor Trading – Finance and Banking

Broker-Dealer Settles NYSE American Charges For Improper Floor Trading – Finance and Banking

  • January 25, 2022
  • Posted by: Bastion team
  • Category: World News
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United States:

Broker-Dealer Settles NYSE American Charges For Improper Floor Trading

25 January 2022


Cadwalader, Wickersham & Taft LLP




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A broker-dealer and the firm’s president and chief
compliance officer (“CCO”) settled NYSE American (the
“Exchange”) charges for improper use of error accounts,
and discretionary transaction, recordkeeping, supervision and
control violations.

In a Letter of Acceptance, Waiver and Consent, the Exchange
found violations of SEA Rule 11a-1(a) (“Regulation of
Floor Trading”) and related NYSE American regulations
requiring compliance with the rule.

The Exchange found that the…

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