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Four Brokers Fined for Violating Market Access Rules

Traders Magazine Online News, August 4, 2017

John D'Antona Jr.

Four firms have been censured and fined a total of $4.75 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 otherwise known as the Market Access Rule 15c 3-5 and related exchange supervisory rules.

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