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Barclays Capital fined $2m over breach of Best Execution rule

Barclays logo on building
Photo: Getty Images

Martin Cloake

2 min read

FINRA fines Barclays Capital $2m for transgression of best execution rule.

A failure to comply with best execution obligations set out in FINRA Rule 5310 has resulted in a fine of $2m for Barclays Capital Inc.

Between January 2014 and February 2019, Barclays Capital owned and operated an alternative trading system known as LX. The firm routed all its customers’ marketable

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