Defendant Name:
KCG Americas LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
34-87155-s
Document Details
Legal Case Name
In the Matter of Virtu Americas LLC (f/k/a KCG Americas LLC)
Document Name
SEC Orders Virtu to Pay $1.5 Million Penalty for Violations of Regulation SCI
Document Date
30-Sep-2019
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
The SEC stated that: "Virtu Americas LLC (f/k/a
KCG Americas LLC) agreed to pay $1.5 million to settle charges for failing to comply with Regulation SCI. The
Commission adopted Regulation SCI to strengthen the technology infrastructure and integrity of the U.S. securities markets."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Total Penalty
Individual:
$1,500,000.00
Shared: