Nex Systems
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Flow Traders U.S. Institutional Trading LLC

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

    12/11/2025: Between July 2019 and January 2023, Flow Traders inaccurately reported over 103,000 transactions to the Trade Reporting and Compliance Engine (TRACE) without the required No Remuneration (NR) indicator, in violation of FINRA Rules 6730(d)(1) and (d)(4)(F) and 2010. During the same period, Flow Traders also failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA Rules 6730(d)(1) and (d)(4)(F), in violation of FINRA Rules 3110(a), 3110(b), and 2010. For these violations, Flow Traders is censured and fined $75,000...

    Reference 2023077446501data-portal.finra.orgfinra.org

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