Defendant Name: Knight Capital Americas LLC

Defendant Type: Subsidiary of Public Company
Public Company Parent: KCG Holdings, Inc.
SIC Code: 6799
CUSIP: 48244B10

Initial Case Details

Legal Case Name In the Matter of Knight Capital Americas LLC
First Document Date 16-Oct-2013
Initial Filing Format Administrative Action
File Number 3-15570
Allegation Type Broker Dealer

Violations Alleged

Exchange Act
• Sec 15(c)
Other
• Section 15(c)(3) Exchange Act; Rules 15c3-5, 15c3-5(c)(1)(i), 15c3-5(c)(1)(ii), 15c3-5(b), 15c3-5(e), 15c3-5(e)(1), 15c3-5(e)(2) Exchange Act; Rules 200(g), 203(b) Regulation SHO

Resolutions

First Resolution Date 16-Oct-2013

Related Documents:

34-70694 16-Oct-2013 Administrative Proceeding
Order Instituting Administrative And Cease-And-Desist Proceedings, Pursuant To Sections 15(B) And 21c Of The Securities Exchange Act Of 1934, Making Findings, And Imposing Remedial Sanctions And A Cease-And-Desist Order
On December 12, 2013, the SEC filed settled administrative proceedings against Knight Capital Americas LLC. According to the SEC: "The subject of these proceedings is Knight's violation of a Commission rule that requires brokers or dealers to have controls and procedures in place reasonably designed to limit the risks associated with their access to the markets...."
2013-222 16-Oct-2013 Press Release--Administrative Proceeding
SEC Charges Knight Capital With Violations of Market Access Rule
On October 16, 2013, the SEC announced that, "Knight Capital Americas LLC has agreed to pay $12 million to settle charges that it violated the agency's market access rule in connection with the firm's Aug. 1, 2012 trading incident that disrupted the markets."