FINRA Fine E * TRADE $ 350K rau kev soj ntsuam tsis ua haujlwm

Electronic trading platform E * TRADE, ib lub chaw muag khoom ntawm Morgan Stanley, tau raug nplua $ 350,000, nrog rau kev txiav txim siab, los ntawm Financial Industry Regulatory Authority (FINRA) rau kev ua tsis tiav hauv kev tsim thiab kev saib xyuas cov tshuab.

Tshaj tawm rau hnub Tuesday, lub koom haum tswj hwm tus kheej tau liam ntau yam ua txhaum cai ntawm ib feem ntawm Asmeskas
 
 trading platform 
. Ua ntej, nws ua tsis tau tejyam mus ntes manipulative trading vim lub lapses nyob rau hauv lub saib xyuas systems.

Txawm hais tias lub platform siv ntau daim ntawv ceeb toom thaum lub Kaum Ob Hlis 2016 thiab Kaum Ib Hlis 2021 txhawm rau txheeb xyuas cov peev txheej ntxuav thiab kev lag luam npaj ua ntej, cov kev siv tsis raug txwv hnyav heev los xyuas cov haujlwm dag no.

E * TRADE kuj tseem raug tshuaj xyuas rau kev hloov kho qhov tsis sib xws hauv nws cov ntawv ceeb toom soj ntsuam uas txwv tsis pub tshawb pom qhov muaj peev xwm kos npe-tus-kaw ua haujlwm, tshwj xeeb tshaj yog hauv cov nqi qis dua. Tsis tas li ntawd, lub koom haum kuj tau nug txog qhov tsis txaus ntawm kev tsim cov kev soj ntsuam uas tsis tuaj yeem txheeb xyuas cov khoom tsim tau nce lossis txo tus nqi ntawm cov khoom lag luam thinly.

"E * TRADE ua tsis tiav los tsim thiab tswj hwm kev saib xyuas uas tsim nyog tsim kom ua tiav
 
 raws li 
nrog rau tsoomfwv cov cai lij choj thiab kev tswj hwm kev nyab xeeb thiab FINRA cov cai ntsig txog kev lag luam uas muaj peev xwm ua lag luam, "cov lus tshaj tawm tau hais.

Order Txais

Lub lag luam platform tau pom zoo rau qhov kev txiav txim ntawm FINRA, suav nrog kev nplua nyiaj. Qhov no yuav txwv tsis pub lub koom haum los ntawm kev nqa cov nqi ntxiv ntawm kev lag luam platform raws li cov lus sib liam hais.

Tawm ntawm tag nrho cov nplua, $ 144,500 yog them rau FINRA, daim ntawv ceeb toom qhia ntxaws.

"[Cov Ntawv Txais Txais, Kev Zam, thiab Kev Pom Zoo (AWC)] raug xa mus rau ntawm qhov xwm txheej uas, yog tias lees txais, FINRA yuav tsis coj mus rau yav tom ntej rau Tus Neeg Sawv Cev liam tias ua txhaum cai raws li qhov kev tshawb pom tseeb uas tau piav qhia hauv AWC no," tsab ntawv ceeb toom ntxiv.

"Tus neeg teb xov tooj pom zoo them nyiaj rau kev nplua nyiaj raws li kev ceeb toom tias AWC no tau lees txais thiab tias cov nyiaj them poob haujlwm no tau them thiab them."

Electronic trading platform E * TRADE, ib lub chaw muag khoom ntawm Morgan Stanley, tau raug nplua $ 350,000, nrog rau kev txiav txim siab, los ntawm Financial Industry Regulatory Authority (FINRA) rau kev ua tsis tiav hauv kev tsim thiab kev saib xyuas cov tshuab.

Tshaj tawm rau hnub Tuesday, lub koom haum tswj hwm tus kheej tau liam ntau yam ua txhaum cai ntawm ib feem ntawm Asmeskas
 
 trading platform 
. Ua ntej, nws ua tsis tau tejyam mus ntes manipulative trading vim lub lapses nyob rau hauv lub saib xyuas systems.

Txawm hais tias lub platform siv ntau daim ntawv ceeb toom thaum lub Kaum Ob Hlis 2016 thiab Kaum Ib Hlis 2021 txhawm rau txheeb xyuas cov peev txheej ntxuav thiab kev lag luam npaj ua ntej, cov kev siv tsis raug txwv hnyav heev los xyuas cov haujlwm dag no.

E * TRADE kuj tseem raug tshuaj xyuas rau kev hloov kho qhov tsis sib xws hauv nws cov ntawv ceeb toom soj ntsuam uas txwv tsis pub tshawb pom qhov muaj peev xwm kos npe-tus-kaw ua haujlwm, tshwj xeeb tshaj yog hauv cov nqi qis dua. Tsis tas li ntawd, lub koom haum kuj tau nug txog qhov tsis txaus ntawm kev tsim cov kev soj ntsuam uas tsis tuaj yeem txheeb xyuas cov khoom tsim tau nce lossis txo tus nqi ntawm cov khoom lag luam thinly.

"E * TRADE ua tsis tiav los tsim thiab tswj hwm kev saib xyuas uas tsim nyog tsim kom ua tiav
 
 raws li 
nrog rau tsoomfwv cov cai lij choj thiab kev tswj hwm kev nyab xeeb thiab FINRA cov cai ntsig txog kev lag luam uas muaj peev xwm ua lag luam, "cov lus tshaj tawm tau hais.

Order Txais

Lub lag luam platform tau pom zoo rau qhov kev txiav txim ntawm FINRA, suav nrog kev nplua nyiaj. Qhov no yuav txwv tsis pub lub koom haum los ntawm kev nqa cov nqi ntxiv ntawm kev lag luam platform raws li cov lus sib liam hais.

Tawm ntawm tag nrho cov nplua, $ 144,500 yog them rau FINRA, daim ntawv ceeb toom qhia ntxaws.

"[Cov Ntawv Txais Txais, Kev Zam, thiab Kev Pom Zoo (AWC)] raug xa mus rau ntawm qhov xwm txheej uas, yog tias lees txais, FINRA yuav tsis coj mus rau yav tom ntej rau Tus Neeg Sawv Cev liam tias ua txhaum cai raws li qhov kev tshawb pom tseeb uas tau piav qhia hauv AWC no," tsab ntawv ceeb toom ntxiv.

"Tus neeg teb xov tooj pom zoo them nyiaj rau kev nplua nyiaj raws li kev ceeb toom tias AWC no tau lees txais thiab tias cov nyiaj them poob haujlwm no tau them thiab them."

Tau qhov twg los: https://www.financemagnates.com/forex/brokers/finra-fines-etrade-350k-for-surveillance-failures/