Citadel Securities agreed to pay a $700,000 fine as well as an unspecified amount of restitution to settle alleged violations with FINRA Enforcement. According to FINRA Enforcement, Citadel traded ahead of certain inactive over-the-counter customer (“OTC”) orders, failed to consistently apply its written methodology to certain OTC customer orders, failed to display certain OTC customer limit orders and also had related supervisory failures.
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