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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NYSE Arca Disciplinary Actions for June
OTA LLC, an Equities Trading Permit (“ETP”) Holder, agreed to pay a $55K fine for violating NYSE Arca Rule 7.23-E (Obligations of Market Makers). The firm failing to maintain continuous, two-sided trading interest in approximately 1,183 full-day instances.
INTEGRAL DERIVATIVE and WILLIAM FALLON, agreed to pay a $45K fine and a $7.5K fine, respectively. Both respondents violated NYSE Arca Rules 2.24(b) (Registration-Employees of ETP Holders) and 11.18(d) (Supervision). First, the firm failed to register its Chief Compliance Officer (CCO) and Executive Manager and Floor Supervisor with the Exchange as General Securities Principals. Mr. Fallon, in turn, failed to register with the Exchange as a General Securities Principal.
