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SEC fines ATS operator over Market Access Rule, Reg ATS violations

Liquidnet website
Photo: Liquidnet

Alexander Barzacanos

2 min read
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The action marks the second time Liquidnet has been fined for weak customer information protections.

The SEC announced settled charges against alternative trading systems (ATS) operator Liquidnet, alleging violations of the Market Access Rule, failure to protect trading information, and failure to amend its Form ATS and Form ATS-N under Regulation ATS.

The SEC also charged Liquidnet with making material misstatements about its compliance with

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