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Knight Equity Markets, L.P.

Knight Equity Markets, L.P. (CRD #38599, Jersey City, New Jersey) received a censure and fine of $39,500. According to the findings, the firm submitted OATS reports with respect to equity securities traded on NASDAQ that were not in the electronic form prescribed by NASD; and although the reports were repairable, the firm did not correct or replace any of them. The findings also stated that the firm incorrectly designated as “PRP” through ACT last sale reports of transactions in NASDAQ National Market® (NNM®) and Small Cap securities. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CLG050059)

Did Knight Equity Markets, L.P. manage your investments?

 

 

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