March 06, 2018 BY LeapRate Staff

NYSE not immune: $14M fine for first-ever violation of Reg SCI

It isn't just the bank and brokers getting fined. The U.S. Securities and Exchange Commission (SEC) has announced that it charged the New York Stock Exchange and two affiliated exchanges with regulatory failures in connection with multiple episodes, including several disruptive market events. The charges arose from five separate investigations and include the first-ever charged…

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