Nex Systems
Type not stated

BATS TRADING INC.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20060068624-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BATS Trading, Inc., Respondent Broker-Dealer CRD No. 136734 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, BATS Trading, Inc. (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 2006006862401data-portal.finra.orgfinra.org

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