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The SEC has charged Citadel Securities, Natixis Securities Americas, and MUFG Securities Americas with deficient blue sheet data reports.
Three broker-dealers will pay more than $6 million to settle charges that they provided SEC officials with incomplete and inaccurate “electronic blue sheet,” or EBS, data. Electronic blue sheets include the required securities trading information that the SEC uses to “carry out its enforcement and regulatory obligations, including the investigation of insider trading and other...
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