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CogDiss 1188X

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CogDiss 1188X

Re: Doc logic post# 295621

Tuesday, 07/21/2020 12:10:20 AM

Tuesday, July 21, 2020 12:10:20 AM

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Citadel securities fined for fronting running OTC equity trading by changing their internal systems to

“direct OTC customer orders for manual review and/or handling. Impacted orders were rendered inactive until the completion of a manual trader review,” FINRA said in the document earlier this month.

According to the regulator, from at least September 2012 to the middle of September of 2014, the OTC desk traded ahead of those inactive OTC customer orders, in violation of FINRA Rule 5320 and failed to display them as required by FINRA Rule 6460.”


https://www.financemagnates.com/institutional-forex/regulation/citadel-securities-fined-700k-for-breaching-finra-rules/amp/
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