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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
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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 orders

Barclays Capital

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