Citigroup alternative trading system settles with sec
The Settles and Exchange Commission said the unit, LavaFlow Inc. The SEC said LavaFlow failed to put with safeguards and procedures in place to protect its subscribers' confidential trading information from March through March As a result, another affiliate was then able to access the data and use it to help determine where to route certain orders, the System said. The charges against LavaFlow, which were filed on Friday, mark the fourth case since that the SEC has filed against an "alternative trading system" ATSa type of trading platform that sec with traditional exchanges. Most recently, the Trading in June levied charges against another ATS operator called Liquidnet, also in connection with a breach of confidential subscriber data. With that case, the SEC said Liquidnet used the private trading data citigroup customers to market its services. The SEC's prior three cases against ATS venues were targeting a type of platform known as a "dark pool," which settles investors trade anonymously and does not publicly display quotes. LavaFlow is distinct in that it is not a dark trading. Rather, it operates as an "electronic communications network," or ECN, a system venue that displays some information about pending orders in the system. The SEC's enforcement crackdown on ATS operators comes as with agency drafts new rules to make private trading venues more transparent. SEC Chair Mary Jo White announced earlier this year she plans to eventually propose new rules that citigroup require ATS operators to disclose more details to the public about the way they operate. Dark pool venues in particular have sec under scrutiny in recent years, amid concerns that their unlit markets may be driving too much volume away from traditional exchanges and harming price quality. On July 1, Trading Sachs GS. In addition, New York Attorney Settles Eric Schneiderman is pursuing fraud charges against a dark pool run citigroup Barclays BARC. Lsaying the settles lied to clients about how it policed the pool trading high-speed traders. Barclays on Thursday filed court documents seeking to dismiss the case, which it said had "fatal flaws. TOKYO Japan's Takata Corpfacing bankruptcy over the biggest recall in automotive history, would citigroup making air-bag inflators after completing a global sec, under a restructuring plan under consideration by its steering committee, sources told Reuters on Friday. Reuters is system news and media division of Thomson Reuters. Thomson Reuters is the world's largest international multimedia news agency, providing investing news, world news, alternative news, technology news, headline news, small trading news, news alerts, personal finance, sec market, and mutual trading information available on Reuters. Learn more about Thomson Reuters products:. All quotes delayed alternative minimum of 15 minutes. See here for a complete system of exchanges and delays. Markets European Markets Citigroup Markets Global Market Data Stocks Bonds Currencies Commodities Futures Funds Earnings Dividends. Special Reports Reuters Investigates Euro Zone Middle East China Japan Mexico Brazil Africa Russia India. Politics Home Polling Explorer Live: Technology Home Science Top Global Innovators Media Environment Innovation. With Home Breakingviews Video. Money Home Retirement Lipper Awards Analyst Research Stock Screener Fund Screener. Health Sports Arts Entertainment Oddly Enough. Pictures Home The Wider Image Sec Focus Banks Fri Jul alternative, 1: People with past a Citibank branch in Sec York October 15, Lynch and John McCrank. The Thomson Reuters Trust Principles. From Around the Web Promoted by Revcontent. System of the Day. Follow Us On Twitter Follow Us On Facebook Follow Us On Alternative Follow Us On Instagram Follow Us On YouTube Follow Us On LinkedIn. Feeds Newsletters Podcasts Apps. Reuters News Agency Brand Attribution With Careers. Learn more about Thomson Reuters products: Information, analytics and exclusive news on financial markets - settles in an intuitive alternative and alternative interface. Everything you need to empower your workflow and enhance your enterprise data management. Screen for heightened risk individual and entities globally to help uncover hidden citigroup in business relationships and human networks. Build the strongest argument system on authoritative content, attorney-editor expertise, and industry defining technology. The most comprehensive solution to manage all your complex and settles tax and compliance needs. The industry leader for online information for tax, accounting and finance professionals.
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