DIRECT EDGE ECN LLC

Regulator action

United States. Named in 5 sanctions listings.

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Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070089106-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Edge ECN LLC, Respondent Broker-Dealer CRD No. 135981 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Direct Edge ECN LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2007008910601finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100236903-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Edge ECN LLC (EDGA) Broker-Dealer CRD No. 135981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Direct Edge ECN LLC ("EDGA" 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 below. This AWC is
Reference 2010023690301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080125413-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Edge ECN LLC Broker-Dealer CRD No. 135981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Direct Edge ECN 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 below. This AWC is submitted on the
Reference 2008012541301finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060046195-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Edge ECN, LLC, Respondent Broker-Dealer CRD No. 135981 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Direct Edge ECN, 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 below. This AWC is
Reference 2006004619501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080148700-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Edge ECN LLC, Respondent Broker-Dealer CRD No. 135981 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Direct Edge ECN 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 below. This AWC is
Reference 2008014870001data-portal.finra.org finra.org

Other names1

Weak aliases1

Spellings the source flags as too generic to establish a match on their own.

EDGA

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