ABN AMRO Capital Markets (USA) LLC

01/16/2026: ABN AMRO Capital violated several interrelated regulatory requirements designed to ensure broker-dealers maintain sufficient liquid resources to meet their financial commitments. Between November 2023 and September 2024, ABN AMRO Capital conducted a securities business on 84 days during which it failed to maintain its required minimum net capital; maintained inaccurate books and records related to its net capital calculations; filed ten inaccurate Financial and Operational Combined Uniform Single (FOCUS) reports; and failed to provide timely required notifications to FINRA and the SEC regarding its net capital deficiencies. Through this conduct, ABN AMRO Capital violated Sections 15(c)(3) and 17(a) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rules 15c3-1, 17a-3, 17a-5, and 17a-11, and FINRA Rules 4110(b)(1), 4511(a), and 2010. For these violations, the firm is censured and fined $50,000.

Reference 2024080523501finra.orgdata-portal.finra.org