January 13, 2017

Citadel Securities LLC

Trading and Pricing

SANCTION AMOUNT: $22,665,268

Defendants: Citadel Securities LLC

Respondent Citadel Securities settled charges that its business unit handling retail customer orders from other brokerage firms made misleading statements to them about trade pricing, by falsely suggesting that the company either took the other side of orders forwarded from the BDs' customers and provided the best observed market price, or sought to obtain that price in the marketplace.

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