Defendant Name: tZERO ATS, LLC

Defendant Type: Subsidiary of Public Company

Document Reference: 34-93938-s

Document Details

Legal Case Name In the Matter of tZERO ATS, LLC
Document Name SEC Charges Alternative Trading System for Failing to Comply with Certain Requirements of Regulation ATS
Document Date 10-Jan-2022
Document Format Administrative Proceeding
File Number 3-20699
Allegation Type Broker Dealer
Document Summary The SEC "announced settled charges against tZERO ATS, LLC, an indirect subsidiary of Overstock.com, for failing to comply with certain requirements of Regulation ATS."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Monetary Penalties:

Civil Penalty

Individual:     $800,000.00 Shared:    

Related Documents:

34-93938 10-Jan-2022 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 Finds, and Imposing Remedial Sanctions and a Cease-And-Desist Order
On January 10, 2022, the SEC instituted settled administrative and cease-and-desist proceedings against tZERO ATS, LLC, stating: "These proceedings arise out of Respondent's operation of an alternative trading system ("ATS"), pursuant to an exemption from registration that required it to comply with Regulation ATS, promulgated under the Exchange Act."