FINRA headquarters in New York. (Photo: Ron Pechtimaldjian)
Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. Morgan Securities LLC and Interactive Brokers LLC were censured and fined $4.75 million Thursday for violating various provisions of the Securities and Exchange Commission’s Market Access Rule and related exchange supervisory rules.
The actions were taken by the Financial Industry Regulatory Authority along with BATS, a CBOE Holdings company; The NASDAQ Stock Market LLC; the New York Stock Exchange; and their affiliated exchanges.
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