- 2016
- $110,000
Administrative proceeding brought following an SEC investigation finding that, from September 2009 through October 2011, respondent engaged in the business of buying and selling U.S. Treasury securities for its own account as a market maker on a platform for U.S. treasuries trading, and received valuable incentives from the trading platform’s operators in exchange for those activities, but had failed to register with the Commission as a government securities dealer prior to engaging in these activities.
