24-01028.pdf
Expungement Award
23-00072.pdf
Award
Neville Golvala Comment On Regulatory Notice 24-13
Comments on Pattern Day Trader Requirements
A lot has changed since the day trading rule went into effect. Settlement is now one business day, commissions have gone to zero at many firms, volumes have exploded. All these factors are in favor of relaxing the day trading rule and eliminating some of its provisions.
Unlocking Transparency: Navigating FINRA’s Market Data Offerings
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
23-03564.pdf
Expungement Award
24-01539.pdf
Award
23-01611.pdf
Award
23-03643.pdf
Award
2021071475201 SG Americas Securties, LLC CRD 128351 AWC lp (2025-1736122798490).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021071475201
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: SG Americas Securities, LLC (Respondent)
Member Firm
CRD No. 128351
Pursuant to FINRA Rule 9216, Respondent SG Americas Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.