NYSE - New York Stock Exchange

NYSE fines Barclays Capital Inc $100,000, of which $33,333 will be paid to NYSE American and disgorgement of $218,803.52, for violation of Securities Exchange Act of 1934 Rule 14e-4 by over-tendering 270,000 shares in the partial tender offer of Company and violation NYSE American Rule 320 by failing to reasonably supervise the process of calculating its net long position for the purpose of participating in the partial tender offer.


Published on Dec. 14th, 2021 Published on Dec. 14th, 2021

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