US Edition2023077775501 SG Americas Securities, LLC CRD 128351 AWC lp.pdf
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2023077775501 SG Americas Securities, LLC CRD 128351 AWC lp.pdf
From July 2017 through August 2023, SGAS inaccurately reported 166,421 transactions to FINRA’s Trade Reporting and Compliance Engine (TRACE), in violation of FINRA Rules 6730 and 2010. In addition, from July 2017 through January 2025, the firm failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures, reasonably designed to achieve compliance with the firm’s TRACE reporting obligations, in violatio…
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