- January 25, 2022
- Posted by: Bastion team
- Category: World News
Broker-Dealer Settles NYSE American Charges For Improper Floor Trading
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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
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…