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ING Barings, LLC

ING Barings, LLC (CRD #6540, New York, New York) received a censure and fine of $12,000. Additionally, the firm was required to provide the NASD with updated written supervisory procedures within 30 business days. According to the complaint, the firm failed to immediately display customer limit orders in Nasdaq securities in its public quotation when each order was at a price that would have improved its bid or offer in each security, or when the full size of each order was priced equal to its bid or offer and the national best bid or offer for each security, and represented more than a de minimis change in relation to the size associated with its bid or offer in each security. In addition, the NASD found that the firmís supervisory system failed to provide sufficient checks and balances to ensure compliance with the above areas. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000126)

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