Defendant Name: Knight Capital Americas LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 2013-222

Document Details

Legal Case Name In the Matter of Knight Capital Americas LLC
Document Name SEC Charges Knight Capital With Violations of Market Access Rule
Document Date 16-Oct-2013
Document Format Administrative Proceeding
File Number 3-15570
Allegation Type Broker Dealer
Document Summary 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."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Compliance Related Independent Consultant

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...."