NYFIX MILLENNIUM L.L.C.
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070103582-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: NYFIX Millennium, L.L.C., Respondent Broker-Dealer CRD No. 103843 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, NYFIX Millennium, LLC. (the "firm" or "NYFX") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2007010358201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000116-01 TO: Department of Market Regulation NASD RE: NYFIX Millennium LLC, Respondent CRD No. 103843 Pursuant to Rule 9216 of NASD Code of Procedure, NYFIX Millennium LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accept
Reference 2005000011601finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055220-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: NYFIX Millennium, L.L.C., Respondent Broker-Dealer CRD No. 103843 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, NYFIX Millennium, L.L.C. ("NYFX" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2006005522001data-portal.finra.orgfinra.org
Other names1
Also known as1
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