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Archive: Nov 2013

November 21, 2013

SEC FINES KNIGHT CAPITAL $12 MILLION IN FIRST EVER MARKET ACCESS RULE ENFORCEMENT ACTION

On October 16, 2013, the SEC agreed to a settlement with Knight Capital Americas LLC (“Knight”) after charging Knight with violating Exchange Act Rule 15c3-5 (the “Rule”) for failing to adequately manage the risks connected with market access.  As part of the…

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