Liquidnet To Pay SEC $5M Over Market Access Rule Issues
Liquidnet To Pay SEC $5M Over Market Access Rule Issues <https://www.law360.com/compliance/articles/2282606?nl_pk=7f7472c8-af4a-4299-9ac5-a594bd6cf4d5&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2025-01-13&read_main=1&nlsidx=0&nlaidx=10> By Katryna Perera Liquidnet Inc. agreed Friday to pay $5 million to resolve claims from the U.S. Securities Exchange Commission that the broker-dealer failed to have the proper controls and procedures related to market access in place and failed to protect confidential subscriber trading information, among other things. Order attached | Read full article » <https://www.law360.com/compliance/articles/2282606?nl_pk=7f7472c8-af4a-4299-9ac5-a594bd6cf4d5&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2025-01-13&read_more=1&nlsidx=0&nlaidx=10> | Save to favorites » <https://www.law360.com/compliance/articles/2282606?nl_pk=7f7472c8-af4a-4299-9ac5-a594bd6cf4d5&utm_source=newsletter&utm_medium=email&utm_campaign=compliance&utm_content=2025-01-13&read_later=1&nlsidx=0&nlaidx=10>
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Gunnar Larson