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Liquidnet pays $5 million fine to settle US SEC charges over controls, confidentiality

Editor January 10, 2025

NEW YORK (Reuters) – Liquidnet agreed to pay a $5 million civil fine to resolve U.S. Securities and Exchange Commission charges that the broker-dealer lacked necessary controls regarding market access, and failed to protect confidential subscriber trading information.

The SEC said on Friday that Liquidnet violated a rule governing alternative trading systems operators by setting inappropriate credit thresholds for customers, including by having a default of $1 billion.

Without admitting wrongdoing, Liquidnet also agreed to a censure as part of the settlement. The SEC said Liquidnet has also undertaken remedial efforts, including hiring an outside consultant to address shortcomings.

(Reporting by Jonathan Stempel in New York)

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