SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

SLS Filings Due

FINRA-required filing for members with $25 million or more in free credit balances, and by each member whose aggregate amount outstanding under repurchase agreements, securities loan contracts and bank loans is equal to or greater than $1 billion.

2018057277201 Virtu Americas LLC CRD 149823 AWC kes.pdf

From November 2017 to May 2022, Virtu failed to establish, document, and maintain its system of risk management controls to demonstrate that it was reasonably designed to prevent the entry of erroneous orders and failed to establish, document, and maintain a system for regularly reviewing the effectiveness of its risk management controls and supervisory procedures. Specifically, Virtu did not reasonably document its system of risk management controls to demonstrate that certain controls were reasonably designed.

2024081858901 Intesa Sanpaolo IMI Securities Corp. CRD 19418 AWC ks.pdf

From July 2018 to April 2024, the firm failed to report or inaccurately reported more than 12,000 transactions to the Trade Reporting and Compliance Engine (TRACE) in violation of FINRA Rules 6730 and 2010. Separately, from at least July 2018 to September 2024, the firm violated the Securities Exchange Act of 1934 Rule 10b-10 and FINRA Rules 2232 and 2010 by failing to disclose the price of the security on over 11,000 customer confirmations and violated FINRA Rules 3110 and 2010 by failing to supervise for compliance with trade confirmation disclosure requirements.
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