Nex Systems
Type not stated

ICAP ELECTRONIC BROKING 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

    01/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016809701 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: ICAP Electronic Broking LLC, Respondent CRD No. 47477 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent ICAP Electronic Broking LLC ("ICAP" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009016809701data-portal.finra.orgfinra.org

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