Posted On: 12/20/2016 8:30:30 AM
Post# of 74
Knight Capital fined $ 105.000 by FINRA for violating Rules 204(a) and 204(b) of
Regulation SHO, NASD Rule 3010, and FINRA Rules 3110 and 2010.
Read the full document on: https://www.dropbox.com/s/ue82rrbfsdyfbaw/66900.pdf?dl=0
Or go to the FINRA site ( http://disciplinaryactions.finra.org ):
1) In Document Text type: Knight Capital
2) In Action Date choose the From Date 11/22/2016 and To Date 11/22/2016
3) Check the box: "By selecting this box, I agree to the Terms of Use"
4) Click Search
5) You can click on the FINRA disciplinary action document against Knight Capital with Action date 11/22/2016
Regulation SHO, NASD Rule 3010, and FINRA Rules 3110 and 2010.
Read the full document on: https://www.dropbox.com/s/ue82rrbfsdyfbaw/66900.pdf?dl=0
Or go to the FINRA site ( http://disciplinaryactions.finra.org ):
1) In Document Text type: Knight Capital
2) In Action Date choose the From Date 11/22/2016 and To Date 11/22/2016
3) Check the box: "By selecting this box, I agree to the Terms of Use"
4) Click Search
5) You can click on the FINRA disciplinary action document against Knight Capital with Action date 11/22/2016
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