Citigroup alternative trading system settles with sec

Citigroup alternative trading system settles with sec
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List of major SEC enforcement actions (2009–12) - Wikipedia

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Citigroup alternative trading system settles with sec
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Record SEC Settlement in S.A.C. Capital Investigation

2018-09-14 · The SEC’s order found that Citigroup misled users with assurances that high-frequency traders were not allowed to trade in “ All trading venues,

Citigroup alternative trading system settles with sec
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Citigroup Inc

2011-03-19 · Lightyear Capital Settles with SEC Regarding Excessive Fee Hana Alternative Asset Management Backs Echelon Seaport These banks are Citigroup,

Citigroup alternative trading system settles with sec
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Citigroup Inc. (NYSE:C) Unit Pays Record Fine to Settle

2018-11-17 · The U.S. Securities and Exchange Commission settled charges on Friday with two technology companies for improperly offering digital tokens, mandating that

Citigroup alternative trading system settles with sec
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Citigroup Settles With SEC in Dark Pool Lawsuit | Finance

Citigroup unit pays record cases by the SEC in recent years targeting alternative imposed so far on an alternative trading system.

Citigroup alternative trading system settles with sec
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Lightyear Capital Settles with SEC Regarding Excessive Fee

2012-10-03 · Dark-pool operator eBX LLC agreed to pay an $800,000 penalty to settle charges that it failed to protect customers’ confidential trading information, the

Citigroup alternative trading system settles with sec
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SEC Charges Dark-Pool Operator for Sharing Confidential Data

2014-07-25 · A Citigroup unit -- New York based LavaFlow Inc. -- will pay $5 million to settle charges brought by the Securities and Exchange Commission (SEC) that it

Citigroup alternative trading system settles with sec
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Citigroup unit pays record penalty to settle SEC charges

2014-07-25 · A private trading venue owned by Citigroup will pay a $5 million penalty to settle charges that it failed to protect customers' data, marking the latest

Citigroup alternative trading system settles with sec
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2,061 of Citigroup’s Subsidiaries Go Missing

2014-07-14 · Citigroup Settles Mortgage Inquiry banks accountable for losses that crippled the global financial system in trading revenue

Citigroup alternative trading system settles with sec
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Citi’s LavaFlow Pays $5M To Settle SEC Data Leak Charges

2014-09-16 · SEC settles with Paradigm NYSE settles with SEC on oversight lapses Citigroup alternative trading system settles with SEC Liquidnet settles with

Citigroup alternative trading system settles with sec
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Citigroup’s LavaFlow to Pay $5M to SEC For Not Protecting

2019-03-18 · Mobile TeleSystems Settles FCPA will pay $100 million to resolve SEC charges that it violated the SEC News - Rule Violations, Insider Trading,

Citigroup alternative trading system settles with sec
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Citigroup Settles With SEC in Dark Pool Lawsuit - World

2014-07-31 · A Citigroup business unit operating an alternative trading system (ATS) has been charged with failing to protect the confidential trading data of its

Citigroup alternative trading system settles with sec
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SEC Form ATS - Investopedia

2014-07-25 · Citigroup unit LavaFlow settles without settles without admitting or denying SEC’s with an alternative trading system

Citigroup alternative trading system settles with sec
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Citi's LavaFlow Pays $5M To Settle SEC Data Leak Charges

Citigroup Business Unit Charged With Failing to Protect Confidential Subscriber Data While Operating Alternative Trading System. million to settle the SEC’s

Citigroup alternative trading system settles with sec
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Citigroup Unit Neither Admits Nor Denies, Pays $5 Million

2014-07-25 · Citi’s LavaFlow Pays $5M To Settle SEC Data 13 PM ET) — Citigroup Inc. unit to date against an alternative trading system

Citigroup alternative trading system settles with sec
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Citigroup unit to pay $5 million to settle SEC charges

2014-07-25 · A business unit of Citigroup will pay $5 million to settle civil charges that one of its private trading venues violated federal law by failing to protect

Citigroup alternative trading system settles with sec
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Citi Launches Alternative Trading Facility: CitiBLOC

SEC or a self-regulatory organization in alternative trading system may indicate the location of Restricted Trading List. Citigroup’s Restricted