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Re: JerryCampbell post# 797995

Monday, 11/17/2025 6:11:20 AM

Monday, November 17, 2025 6:11:20 AM

Post# of 817892
There's plenty of evidence.

Citadel LLC and Citadel Securities LLC do not publish a specific "annual report failure to deliver" document. Failure to Deliver (FTD) data for individual firms like Citadel is generally not available in their public financial statements or annual reports.
Instead, information regarding Citadel's FTDs and related violations is found in regulatory filings, press releases from agencies such as the SEC and FINRA, and disciplinary action reports.
Key findings related to Citadel and failures/misreporting include:
Regulatory Fines: Citadel Securities has been fined multiple times by regulators for various reporting failures and other violations.
Recent Reporting Violations: In October 2024, FINRA fined Citadel Securities $1 million for failing to timely and accurately report data for tens of billions of equity and option order events to the Consolidated Audit Trail (CAT) repository between June 2020 and August 2024.
Prior Reg SHO Violations: In September 2023, the SEC charged Citadel Securities with violating Regulation SHO (which governs short sales) due to a coding error that caused millions of orders to be incorrectly marked as "long" or "short" over a five-year period (2015-2020), resulting in a $7 million penalty.
General FTD Data: The official SEC FTD data is published in a raw format and does not identify the specific firms responsible for the fails. The data is cumulative and reported for the market as a whole, not broken down by individual firm in public reports.

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