Personnel Changes 27 events

No events recorded in this category.

Enforcement Actions 3 events

FINRA censured and fined BTIG $600,000 for failing to reasonably supervise its employees’ use of unapproved communications platforms from January 2020 to July 2024. The firm also failed to preserve business-related communications sent and received through these platforms by more than 50 current and former employees, including senior management. This led to violations of Section 17(a) of the Securities Exchange Act of 1934, Exchange Act Rule 17a-4, and FINRA Rules 4511, 3110(a), and 2010, according to case ID 2023079613601.

The Securities and Exchange Commission posted new information regarding Cboe C2 Exchange, Inc. (C2) filings, available at the SEC’s website under filing number 34-105082. Similarly, the SEC updated its records with new information on Cboe Exchange, Inc. (CBOE) filings, accessible via the SEC’s rulemaking page for national securities exchanges, under filing number 34-105083.

Trading Name Changes 2 events

Firm with CRD number 161772 added the trading name IA VENTURES, said regulatory filings. Firm with CRD number 161772 also added the trading name IA VENTURES, said regulatory filings.