jane street capital, llc

BrokerCheck Report

JANE STREET CAPITAL, LLC

Section Title

Report Summary

Firm History

CRD# 103782

1

8

Firm Profile 2 - 7

Page(s)

Firm Operations 9 - 25

Disclosure Events 26

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CRD# 103782

SEC# 8-52275

Main Office Location

250 VESEY STREET5TH FLOORNEW YORK, NY 10281Regulated by FINRA New York Office

Mailing Address

250 VESEY STREET3RD FLOORNEW YORK, NY 10281

Business Telephone Number

646-759-6000

Report Summary for this Firm

This report summary provides an overview of the brokerage firm. Additional information for this firm can be foundin the detailed report.

Disclosure Events

Brokerage firms are required to disclose certaincriminal matters, regulatory actions, civil judicialproceedings and financial matters in which the firm orone of its control affiliates has been involved.

Are there events disclosed about this firm? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 2

Firm Profile

This firm is classified as a limited liability company.

This firm was formed in Delaware on 08/31/1999.

Its fiscal year ends in December.

Firm History

Information relating to the brokerage firm's historysuch as other business names and successions(e.g., mergers, acquisitions) can be found in thedetailed report.

Firm Operations

Is this brokerage firm currently suspended with anyregulator? No

This firm conducts 6 types of businesses.

This firm is affiliated with financial or investmentinstitutions.

This firm does not have referral or financialarrangements with other brokers or dealers.

This firm is registered with:

• the SEC• 24 Self-Regulatory Organizations• 0 U.S. states and territories

www.finra.org/brokercheck User Guidance

1©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC


http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports


This firm is classified as a limited liability company.

This firm was formed in Delaware on 08/31/1999.

CRD#

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailingaddresses, telephone number, and any alternate name by which the firm conducts business and where such name isused.

Firm Profile

Firm Names and Locations

Its fiscal year ends in December.


SEC#

103782

8-52275

Main Office Location

Mailing Address

Business Telephone Number

Doing business as JANE STREET CAPITAL, LLC

646-759-6000

Regulated by FINRA New York Office

250 VESEY STREET5TH FLOORNEW YORK, NY 10281

250 VESEY STREET3RD FLOORNEW YORK, NY 10281






This section provides information relating to all direct owners and executive officers of the brokerage firm.

Direct Owners and Executive Officers

Firm Profile

Position

Percentage of Ownership

Is this a public reportingcompany?

Position Start Date

Does this owner direct themanagement or policies ofthe firm?

JANE STREET GROUP, LLC

MEMBER

75% or more

No

Domestic Entity

01/2014

Yes

Is this a domestic or foreignentity or an individual?

Legal Name & CRD# (if any):

Position



Position Start Date


EMMET, RICHARD STOCKTON

OPERATING COMMITTEE MEMBER/CEO

Less than 5%

No

Individual

01/2013

Yes

4712665



Position


Position Start Date

HARRISON, MARIE ELIZABETH

PRINCIPAL FINANCIAL OFFICER

Less than 5%

Individual

10/2018

4621035








Direct Owners and Executive Officers (continued)

Firm Profile




Less than 5%

No

No

Position



Position Start Date


KULKIN, JOSHUA BEN

OPERATING COMMITTEE MEMBER

Less than 5%

No

Individual

11/2017

Yes

4711626



Position



Position Start Date


LEHOCZKY, SANDOR GRAHAM


Less than 5%

No

Individual

03/2011

Yes

3231898



LIU, TIEN-FU

5101440







Direct Owners and Executive Officers (continued)

Firm Profile

Position



Position Start Date


CHIEF COMPLIANCE OFFICER & PRINCIPAL OPERATIONS OFFICER

Less than 5%

No

Individual

06/2021

Yes

5101440







This section provides information relating to any indirect owners of the brokerage firm.

Indirect Owners

Firm Profile

JSHC, LLC

INDIRECT OWNER


50% but less than 75%

No

Domestic Entity

10/2019

Yes



Company through whichindirect ownership isestablished

Relationship to Direct Owner

Relationship Established




JSHP, LLLP

INDIRECT OWNER

JSHC, LLC

50% but less than 75%

No

Domestic Entity

10/2019

Yes









GRANIERI, ROBERT ANTHONY

Individual

2363949








Indirect Owners (continued)

Firm Profile



Other General Partners

No

Individual

01/2014

Yes








JENKINS, MICHAEL ANDREW



Other General Partners

No

Individual

01/2014

Yes

2419091














Firm History

This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.

No information reported.






Firm Operations

RegistrationsThis section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatoryorganizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered andlicensed, the date the license became effective, and certain information about the firm's SEC registration.

This firm is currently registered with the SEC, 24 SROs and 0 U.S. states and territories.

SEC Registration Questions

This firm is registered with the SEC as:

A broker-dealer:

A broker-dealer and government securities broker or dealer:

A government securities broker or dealer only:

This firm has ceased activity as a government securities broker or dealer:

Yes

No

No

No

Federal Regulator Status Date Effective

SEC Approved 03/27/2000

Self-Regulatory Organization Status Date Effective

FINRA Approved 11/18/2014

BOX Exchange LLC Approved 10/04/2016

Cboe BYX Exchange, Inc. Approved 11/15/2010

Cboe BZX Exchange, Inc. Approved 05/01/2009

Cboe C2 Exchange, Inc. Approved 01/02/2019

Cboe EDGA Exchange, Inc. Approved 05/14/2010

Cboe EDGX Exchange, Inc. Approved 05/14/2010

Cboe Exchange, Inc. Approved 09/04/2012

Investors' Exchange LLC Approved 09/30/2016

Long-Term Stock Exchange, Inc. Approved 03/26/2020

MEMX LLC Approved 07/16/2020

MIAX Emerald, LLC Approved 03/08/2019

MIAX PEARL, LLC Approved 04/02/2018

Miami International Securities Exchange,LLC

Approved 04/02/2018

NYSE American LLC Approved 08/01/2013






NYSE Arca, Inc. Approved 01/15/2003

NYSE Chicago, Inc. Approved 05/15/2015

NYSE National, Inc. Approved 05/18/2018

Nasdaq BX, Inc. Approved 11/18/2014

Nasdaq GEMX, LLC Approved 11/20/2017

Nasdaq ISE, LLC Approved 08/21/2017

Nasdaq PHLX LLC Approved 11/18/2014

Nasdaq Stock Market Approved 11/18/2014

New York Stock Exchange Approved 08/01/2013





Firm Operations

Registrations (continued)






Firm Operations

Types of BusinessThis section provides the types of business, including non-securities business, the brokerage firm is engaged in orexpects to be engaged in.

Other Types of Business

This firm does effect transactions in commodities, commodity futures, or commodity options.This firm does not engage in other non-securities business.

Non-Securities Business Description:

This firm currently conducts 6 types of businesses.

Types of Business

Broker or dealer making inter-dealer markets in corporation securities over-the-counter

Broker or dealer selling corporate debt securities

Municipal securities broker

Put and call broker or dealer or option writer

Trading securities for own account

Other - PROVIDING PRINCIPAL EXECUTIONS OTC






Firm Operations

Clearing Arrangements

This firm does not hold or maintain funds or securities or provide clearing services for other broker-dealer(s).

Introducing Arrangements

This firm does not refer or introduce customers to other brokers and dealers.






Firm Operations

Industry Arrangements

This firm does have books or records maintained by a third party.

Name: WORKDAY, INC.

Business Address: 6110 STONERIDGE MALL ROADPLEASANTON, CA 94588

Effective Date: 07/01/2021

Description: MAINTAINING CERTAIN FINANCIAL BOOKS AND RECORDS.

Name: OTC MARKETS GROUP, INC.

Business Address: 304 HUDSON STREETNEW YORK, NY 10013


Description: ARCHIVING AND STORAGE OF APPLICANT'S QUOTING AND MESSAGINGACTIVITY ON OTC MARKETS.

Name: RACKSPACE US, INC. (FORMALLY KNOWN AS TRICORE SOLUTIONS,LLC)

Business Address: 1 FANATICAL PLACECITY OF WINDCRESTSAN ANTONIO, TX 78218


Description: MAINTAINING CERTAIN FINANCIAL BOOKS AND RECORDS.

Name: IRON MOUNTAIN INFORMATION MANAGEMENT, INC.

Business Address: 22 KIMBERLY ROADEAST BRUNSWICK, NJ 08816


Description: STORAGE OF BOOKS AND RECORDS.

Name: GLOBAL RELAY COMMUNICATIONS INC.

Business Address: 220 CAMBIE STREET2ND FLOORVANCOUVER, CANADA V6B 2M9


Description: ARCHIVING OF ELECTRONIC COMMUNICATIONS.






Firm Operations

Industry Arrangements (continued)

This firm does have accounts, funds, or securities maintained by a third party.

Name: CLOUDNINE DISCOVERY

Business Address: 14655 NORTHWEST FREEWAYSUITE 135HOUSTON, TX 77040


Description: ARCHIVES CERTAIN BOOKS AND RECORDS.

Name: THE BANK OF NEW YORK MELLON

Business Address: 385 RIFLE CAMP ROAD6TH FLOORWOODLAND PARK, NJ 07424


Description: APPLICANT HAS AN ARRANGEMENT WITH THE BANK OF NEW YORKMELLON WHERE THE BANK OF NEW YORK MELLON FACILITATES THEAPPLICANT TRI-PARTY REPO TRANSACTIONS.

Name: BMO HARRIS BANK N.A.

Business Address: 111 W. MONROECHICAGO, IL 60603


Description: APPLICANT MAINTAINS BANK ACCOUNTS WITH BMO HARRIS BANK N.A.

Name: GOLDMAN SACHS & CO. LLC

Business Address: 30 HUDSON STREETJERSEY CITY, NJ 97302

CRD #: 361


Description: APPLICANT HAS AN ARRANGEMENT WITH GOLDMAN, SACHS & CO.PURSUANT TO WHICH GOLDMAN,SACHS & CO. PROVIDES CLEARANCE,CUSTODY AND OTHER SERVICES TO APPLICANT. THIS ARRANGEMENTIS THE RESULT OF THE TRANSFER OF THE CLEARING AND CUSTODYBUSINESS PREVIOUSLY PERFORMED BY GOLDMAN SACHS EXECUTION& CLEARING, L. P. TO ITS AFFILIATE GOLDMAN, SACHS & CO. INFEBRUARY 2016.

Name: COMPUTERSHARE TRUST COMPANY, N.A.

Business Address: P.O. BOX 43078PROVIDENCE, RI 02940-3078






Firm Operations

Industry Arrangements (continued)Business Address: P.O. BOX 43078

PROVIDENCE, RI 02940-3078


Description: COMPUTERSHARE IS A DEPOSITORY FOR CME GROUP INC.RESTRICTED SHARES HELD PURSUANT TO APPLICANT'S MEMBERSHIPON CHICAGO MERCANTILE EXCHANGE.

WWW.COMPUTERSHARE.COM/INVESTOR

Name: WELLS FARGO BANK, N.A.

Business Address: 120 MOUNTAINVIEW BLVDSUITE 200BASKING RIDGE, NJ 07920


Description: APPLICANT MAINTAINS A BANK ACCOUNT WITH WELLS FARGO BANK,N.A.

Name: HSBC BANK USA, N.A.

Business Address: 120 BROADWAYNEW YORK, NY 10271


Description: APPLICANT MAINTAINS BANK ACCOUNTS WITH HSBC BANK USA, N.A.

Name: BARCLAYS CAPITAL INC.

Business Address: 745 7TH AVENUENEW YORK, NY 10019

CRD #: 19714


Description: APPLICANT HAS AN ARRANGEMENT WITH BARCLAYS CAPITAL INC.PURSUANT TO WHICH BARCLAYS CAPITAL INC. PROVIDES CLEARANCE,CUSTODY AND OTHER SERVICES TO APPLICANT

Name: MERRILL LYNCH INTERNATIONAL

Business Address: MERRILL LYNCH FINANCIAL CENTERTWO KING EDWARD STREETLONDON, UNITED KINGDON EC1A 1HQ


Description: APPLICANT HAS AN ARRANGEMENT WITH MERRILL LYNCHINTERNATIONAL PURSUANT TO WHICH MERRILL LYNCHINTERNATIONAL PROVIDES CLEARANCE, CUSTODY AND OTHERSERVICES TO APPLICANT. 16©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC





Firm Operations

Industry Arrangements (continued)APPLICANT HAS AN ARRANGEMENT WITH MERRILL LYNCHINTERNATIONAL PURSUANT TO WHICH MERRILL LYNCHINTERNATIONAL PROVIDES CLEARANCE, CUSTODY AND OTHERSERVICES TO APPLICANT.

Name: JPMORGAN CHASE BANK, N.A.

Business Address: 277 PARK AVENUE4TH FLOORNEW YORK, NY 10172


Description: APPLICANT HAS AN ARRANGEMENT WITH JPMORGAN CHASE BANK,N.A. PURSUANT TO WHICH JPMORGAN CHASE BANK, N.A. PROVIDESCLEARANCE, CUSTODY AND OTHER SERVICES TO APPLICANT.

Name: BARCLAYS BANK PLC

Business Address: 5 THE NORTH COLONNADECANARY WHARFLONDON, UNITED KINGDON E14 4BB


Description: APPLICANT HAS AN ARRANGEMENT WITH BARCLAYS BANK PLCPURSUANT TO WHICH BARCLAYS BANK PLC PROVIDES CLEARANCE,CUSTODY AND OTHER SERVICES TO APPLICANT.

Name: BARCLAYS CAPITAL SECURITIES LIMITED

Business Address: 5 THE NORTH COLONNADECANARY WHARFLONDON, UNITED KINGDOM E14 4BB


Description: APPLICANT HAS AN ARRANGEMENT WITH BARCLAYS CAPITALSECURITIES LIMITED PURSUANT TO WHICH BARCLAYS CAPITALSECURITIES LIMITED PROVIDES CLEARANCE, CUSTODY AND OTHERSERVICES TO APPLICANT.

Name: MERRILL LYNCH PROFESSIONAL CLEARING CORP.

Business Address: BANK OF AMERICA TOWER1 BRYANT PARKNEW YORK, NY 10036

CRD #: 16139


Description: APPLICANT HAS AN ARRANGEMENT WITH MERRILL LYNCHPROFESSIONAL CLEARING CORP. PURSUANT TO WHICH MERRILLLYNCH PROFESSIONAL CLEARING CORP. PROVIDES CLEARANCE,CUSTODY AND OTHER SERVICES TO APPLICANT. 17©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC





Firm Operations

Industry Arrangements (continued)

This firm does not have customer accounts, funds, or securities maintained by a third party.

This firm does not have individuals who control its management or policies through agreement.

This firm does not have individuals who wholly or partly finance the firm's business.

Control Persons/Financing

APPLICANT HAS AN ARRANGEMENT WITH MERRILL LYNCHPROFESSIONAL CLEARING CORP. PURSUANT TO WHICH MERRILLLYNCH PROFESSIONAL CLEARING CORP. PROVIDES CLEARANCE,CUSTODY AND OTHER SERVICES TO APPLICANT.






Firm Operations

Organization AffiliatesThis section provides information on control relationships the firm has with other firms in the securities, investmentadvisory, or banking business.

This firm is, directly or indirectly:

· in control of· controlled by· or under common control withthe following partnerships, corporations, or other organizations engaged in the securities or investmentadvisory business.

Yes

No

No

09/07/2021

250 VESEY STREETNEW YORK, NY 10281

316117

ALBANY STREET INVESTMENT MANAGER, LLLP is under common control with the firm.

THE ULTIMATE BENEFICIAL OWNERS OF ALBANY STREET INVESTMENTMANAGER, LLLP ARE ALL ULTIMATE BENEFICIAL OWNERS OF THEAPPLICANT.

Description:

Investment AdvisoryActivities:

Securities Activities:

Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

KOREA

Yes

06/04/2018

15TH FLOOR, CHATER HOUSE8 CONNAUGHT ROAD, CENTRALHONG KONG, CHINA

JANE STREET KOREA, LLC is under common control with the firm.

JANE STREET KOREA, LLC IS AN INDIRECT WHOLLY OWNED SUBSIDIARYOF THE PARENT COMPANY OF APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations

Organization Affiliates (continued)

No

Yes

THE NETHERLANDS

Yes

03/01/2018

H-TOREN WTCZUIDPLEIN 36AMSTERDAM, THE NETHERLANDS 1077 XV

JANE STREET NETHERLANDS B.V. is under common control with the firm.

JANE STREET NETHERLANDS B.V. IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CAYMAN ISLANDS

Yes

08/11/2017

WALKERS CORPORATE SERVICES LIMITEDWALKER HOUSE, 87 MARY STREETGEORGE TOWN, GRAND CAYMAN, CAYMAN ISLANDS KY1-9002

JSGC HOLDING, LLC is under common control with the firm.

JSGC HOLDING, LLC IS A SISTER COMPANY OF THE APPLICANT AND HASTHE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

UNITED KINGDOM

Yes

10/07/2013

2 & A HALF DEVONSHIRELONDON, UNITED KINGDOM EC2M 4UJ

JANE STREET INTERNATIONAL TRADING LTD is under common control with the firm.


Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

JANE STREET INTERNATIONAL TRADING LTD IS A SISTER COMPANY OFAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:


No

Yes

No

02/22/2013


167280

JANE STREET EXECUTION SERVICES, LLC is under common control with the firm.

JANE STREET EXECUTION SERVICES, LLC IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

No

Yes

SINGAPORE

Yes

03/19/2013

1 MARINA BOULEVARD#28-001 MARINA BOULEVARD, SINGAPORE 018989

JANE STREET (SINGAPORE) PTE. LIMITED is under common control with the firm.

JANE STREET (SINGAPORE) PTE LIMITED IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

C/O GFIN CORPORATE SERVICES LTD9TH FLOOR, ORANGE TOWERCYBERCITY EBENE, REPUBLIC OF MAURITIUS

JANE STREET ASIA CAPITAL LTD is under common control with the firm.

Business Address:






Firm Operations


No

Yes

REPUBLIC OF MAURITIUS

Yes

01/18/2013

C/O GFIN CORPORATE SERVICES LTD9TH FLOOR, ORANGE TOWERCYBERCITY EBENE, REPUBLIC OF MAURITIUS

JANE STREET ASIA CAPITAL LTD IS A SISTER COMPANY OF THE APPLICANTAND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

HONG KONG/CHINA

Yes

11/23/2011


JANE STREET HONG KONG LIMITED is under common control with the firm.

JANE STREET HONG KONG LIMITED IS AN INDIRECT WHOLLY OWNEDSUBSIDIARY OF THE PARENT COMPANY OF APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

HONG KONG/CHINA

Yes

10/12/2010


JANE STREET ASIA TRADING LIMITED is under common control with the firm.



Country:

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


JANE STREET ASIA TRADING LIMITED IS AN INDIRECT WHOLLY OWNEDSUBSIDIARY OF THE PARENT COMPANY OF APPLICANT.

Description:

No

Yes

CAYMAN ISLANDS

Yes

12/10/2008


JSGC LIMITED is under common control with the firm.

JSGC LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF THEPARENT COMPANY OF APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

CAYMAN ISLANDS

Yes

12/10/2008


JSCC LIMITED is controlled by the firm.

JSCC LIMITED IS A WHOLLY OWNED SUBSIDIARY OF JANE STREETCAPITAL, LLC.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

Yes

10/23/2007

P. O. BOX 3321ROAD TOWNTORTOLA, BRITISH VIRGIN ISLANDS

JSOIN (BVI) LTD. is under common control with the firm.

Foreign Entity:

Effective Date:

Business Address:






Firm Operations


No

Yes

BRITISH VIRGIN ISLANDS

Yes

JSOIN (BVI) LTD. IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF THEPARENT COMPANY OF APPLICANT.

Description:



Country:

Foreign Entity:

No

Yes

UNITED KINGDOM

Yes

04/13/2007

2 & A HALF DEVONSHIRELONDON, UNITED KINGDOM EC2M 4UJ

JANE STREET FINANCIAL LIMITED is under common control with the firm.

JANE STREET FINANCIAL LIMITED IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

UNITED KINGDON

Yes

08/11/2006

2 & A HALF DEVONSHIRELONDON, UNITED KINGDON EC2M 4UJ

JANE STREET EUROPE LIMITED is under common control with the firm.

JANE STREET EUROPE LIMITED IS A SISTER COMPANY OF THE APPLICANTAND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:


JANE STREET GLOBAL TRADING, LLC is under common control with the firm.

Business Address:24©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC





Firm Operations


No

Yes

No

04/25/2005


JANE STREET GLOBAL TRADING, LLC IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

No

Yes

No

12/20/2004


134159

JANE STREET OPTIONS, LLC is under common control with the firm.

JANE STREET OPTIONS, LLC IS AN INDIRECT WHOLLY OWNED SUBSIDIARYOF THE PARENT COMPANY OF APPLICANT.

Description:



Country:

Foreign Entity:

Effective Date:

Business Address:

CRD #:

This firm is not directly or indirectly, controlled by the following:

· bank holding company· national bank· state member bank of the Federal Reserve System· state non-member bank· savings bank or association· credit union· or foreign bank






Disclosure Events

All firms registered to sell securities or provide investment advice are required to disclose regulatory actions, criminal orcivil judicial proceedings, and certain financial matters in which the firm or one of its control affiliates has been involved.For your convenience, below is a matrix of the number and status of disclosure events involving this brokerage firm orone of its control affiliates. Further information regarding these events can be found in the subsequent pages of thisreport.

Final On AppealPending

Regulatory Event 0 2 0






Disclosure Event Details

What you should know about reported disclosure events:

1. BrokerCheck provides details for any disclosure event that was reported in CRD. It also includessummary information regarding FINRA arbitration awards in cases where the brokerage firm wasnamed as a respondent.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a brokerage firm is required to disclose a

particular criminal event.3. Disclosure events in BrokerCheck reports come from different sources:

o Disclosure events for this brokerage firm were reported by the firm and/or regulators. When the firmand a regulator report information for the same event, both versions of the event will appear in theBrokerCheck report. The different versions will be separated by a solid line with the reporting sourcelabeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter,

or (2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter.Please note that firms may choose to settle customer disputes or regulatory matters forbusiness or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding ofwrongdoing on the part of the individual broker. Such matters generally involve customerdisputes.

5. You may wish to contact the brokerage firm to obtain further information regarding any of thedisclosure events contained in this BrokerCheck report.

Regulatory - Final

This type of disclosure event involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulator such as the U.S. Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of the authority of a brokerage firm or its control affiliate to act as an attorney, accountant or federalcontractor.

Disclosure 1 of 2

Reporting Source: Regulator

Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOTRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDITTRAIL SYSTEM (OATS). THE FINDINGS STATED THAT THESE ROES WERECOMBINED NEW ORDER/ROUTE REPORTS RELATED TO ORDERS INNATIONAL MARKET SYSTEM (NMS) SECURITIES THAT THE FIRM ROUTEDTO A BROKER-DEALER FOR EXECUTION IN CANADA. THE FINDINGS ALSOSTATED THAT THE FIRM TRANSMITTED TO THE ORDER AUDIT TRAILSYSTEM ROES THAT CONTAINED INACCURATE, INCOMPLETE, ORIMPROPERLY FORMATTED DATA. SPECIFICALLY, THE ROES CONTAINED ANINACCURATE DESTINATION CODE. THE FINDINGS ALSO INCLUDED THATTHE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISIONREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TOTHE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULESOF FINRA, CONCERNING THE COMPLETENESS AND ACCURACY OF ROESSUBMITTED TO OATS. SPECIFICALLY, THE FIRM'S WRITTEN SUPERVISORYPROCEDURES (WSPS) DID NOT IDENTIFY THE PERSON RESPONSIBLE FORCONDUCTING THE SUPERVISORY REVIEWS AND DID NOT SPECIFY THESUPERVISORY STEPS TO BE TAKEN TO ENSURE THAT ALL ROES AREACCEPTED. MOREOVER, THE FIRM'S SUPERVISORY SYSTEM, INCLUDINGITS WSPS, DID NOT SPECIFY THAT THE FIRM REVIEW, ROE REJECTIONS,LATE REPORTS, OUT OF SEQUENCE EVENTS, UNMATCHED EXECUTIONS,UNMATCHED EXCHANGE ROUTES, AND UNMATCHED INTER-FIRM ROUTES.

Current Status: Final






Initiated By: FINRA

Principal Sanction(s)/ReliefSought:

Other Sanction(s)/ReliefSought:

Date Initiated: 05/23/2017

Docket/Case Number: 2015046614501

Principal Product Type: Other

Other Product Type(s): UNSPECIFIED SECURITIES

Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTEDTO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TOTRANSMIT REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDITTRAIL SYSTEM (OATS). THE FINDINGS STATED THAT THESE ROES WERECOMBINED NEW ORDER/ROUTE REPORTS RELATED TO ORDERS INNATIONAL MARKET SYSTEM (NMS) SECURITIES THAT THE FIRM ROUTEDTO A BROKER-DEALER FOR EXECUTION IN CANADA. THE FINDINGS ALSOSTATED THAT THE FIRM TRANSMITTED TO THE ORDER AUDIT TRAILSYSTEM ROES THAT CONTAINED INACCURATE, INCOMPLETE, ORIMPROPERLY FORMATTED DATA. SPECIFICALLY, THE ROES CONTAINED ANINACCURATE DESTINATION CODE. THE FINDINGS ALSO INCLUDED THATTHE FIRM'S SUPERVISORY SYSTEM DID NOT PROVIDE FOR SUPERVISIONREASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH RESPECT TOTHE APPLICABLE SECURITIES LAWS AND REGULATIONS, AND THE RULESOF FINRA, CONCERNING THE COMPLETENESS AND ACCURACY OF ROESSUBMITTED TO OATS. SPECIFICALLY, THE FIRM'S WRITTEN SUPERVISORYPROCEDURES (WSPS) DID NOT IDENTIFY THE PERSON RESPONSIBLE FORCONDUCTING THE SUPERVISORY REVIEWS AND DID NOT SPECIFY THESUPERVISORY STEPS TO BE TAKEN TO ENSURE THAT ALL ROES AREACCEPTED. MOREOVER, THE FIRM'S SUPERVISORY SYSTEM, INCLUDINGITS WSPS, DID NOT SPECIFY THAT THE FIRM REVIEW, ROE REJECTIONS,LATE REPORTS, OUT OF SEQUENCE EVENTS, UNMATCHED EXECUTIONS,UNMATCHED EXCHANGE ROUTES, AND UNMATCHED INTER-FIRM ROUTES.

Resolution Date: 05/23/2017

Resolution:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Acceptance, Waiver & Consent(AWC)





https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2015046614501


Other Sanctions Ordered: UNDERTAKING

Sanction Details: THE FIRM WAS CENSURED, FINED $85,000, AND REQUIRED TO REVISE ITSWSPS. FINE PAID IN FULL ON JUNE 8, 2017.

Sanctions Ordered: CensureMonetary/Fine $85,000.00

iReporting Source: Firm

Initiated By: FINRA





Principal Product Type: Other

Other Product Type(s): UNSPECIFIED SECURITIES

Allegations: PURSUANT TO A LETTER OF ACCEPTANCE WAIVER AND CONSENT OF MAY23, 2017, FINRA FOUND THAT THE APPLICANT FAILED TO TRANSMITCERTAIN REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDITTRAIL SYSTEM (OATS) AND ALSO TRANSMITTED CERTAIN ROES TO OATSCONTAINING INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTEDDATA. FINRA ALSO DETERMINED THAT THE APPLICANT'S WRITTENSUPERVISORY PROCEDURES CONTAINED CERTAIN DEFICIENCIESREGARDING THE SUPERVISION OF THE APPLICANT'S OATS SUBMISSIONPROCESS.



Resolution:

Other Sanctions Ordered: UNDERTAKING

Sanction Details: PURSUANT TO A LETTER OF ACCEPTANCE WAIVER AND CONSENT OF MAY23, 2017, FINRA FOUND THAT THE APPLICANT FAILED TO TRANSMITCERTAIN REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDITTRAIL SYSTEM (OATS) AND ALSO TRANSMITTED CERTAIN ROES TO OATSCONTAINING INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTEDDATA. FINRA ALSO DETERMINED THAT THE APPLICANT'S WRITTENSUPERVISORY PROCEDURES CONTAINED CERTAIN DEFICIENCIESREGARDING THE SUPERVISION OF THE APPLICANT'S OATS SUBMISSIONPROCESS. THE APPLICANT CONSENTED TO A CENSURE AND PAID A FINEOF $85,000.







https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2015046614501

www.finra.org/brokercheck User GuidancePURSUANT TO A LETTER OF ACCEPTANCE WAIVER AND CONSENT OF MAY23, 2017, FINRA FOUND THAT THE APPLICANT FAILED TO TRANSMITCERTAIN REPORTABLE ORDER EVENTS (ROES) TO THE ORDER AUDITTRAIL SYSTEM (OATS) AND ALSO TRANSMITTED CERTAIN ROES TO OATSCONTAINING INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTEDDATA. FINRA ALSO DETERMINED THAT THE APPLICANT'S WRITTENSUPERVISORY PROCEDURES CONTAINED CERTAIN DEFICIENCIESREGARDING THE SUPERVISION OF THE APPLICANT'S OATS SUBMISSIONPROCESS. THE APPLICANT CONSENTED TO A CENSURE AND PAID A FINEOF $85,000.

Disclosure 2 of 2

i

Reporting Source: Regulator

Initiated By: NYSE ARCA, INC.




Principal Product Type: No Product

Other Product Type(s):

Allegations: NYSE ARCA EQUITIES RULES 6.18(B) AND (C) - JANE STREET CAPITAL LLCAND SEVERAL OF ITS AFFILIATES SHARE A COMMON TRADING FLOOR,AND ALL ARE UNDER COMMON DAY-TO-DAY MANAGEMENT AND CONTROL.THE FIRM HAS SEVEN TRADING DESKS, AND THE TRADERS ANDALGORITHMS UTILIZED ON EACH DESK TRADE FOR THE FIRM ANDCERTAIN OF ITS AFFILIATES. THE FIRM HAS NO AGGREGATION UNITS.GIVEN ITS STRUCTURE, THE FIRM FAILED TO ESTABLISH AND MAINTAIN ASUPERVISORY SYSTEM REASONABLY DESIGNED TO ACHIEVECOMPLIANCE WITH APPLICABLE SECURITIES LAWS, REGULATIONS, ANDNYSE ARCA RULES, RELATED TO THE DETECTION OF PURCHASE ANDSALE TRANSACTIONS THAT RESULTED IN NO CHANGE OF BENEFICIALOWNERSHIP. THE FIRM DID NOT HAVE ANY WRITTEN SUPERVISORYPROCEDURES (WSPS) SPECIFICALLY RELATED TO DETECTING ANDADDRESSING TRANSACTIONS THAT INVOLVED NO CHANGE IN BENEFICIALOWNERSHIP. THE FIRM'S SURVEILLANCE TO DETECT WHAT IT REFERREDTO AS "SELF-TRADES" WAS LIMITED TO A SINGLE TRADING DESK, ANDTHAT SURVEILLANCE ONLY DETECTED TRADES WHERE THAT DESK WASON BOTH SIDES OF A TRADE, RATHER THAN WHERE THERE WAS NOCHANGE IN BENEFICIAL OWNERSHIP. THE FIRM ADOPTED WSPS TOADDRESS SO-CALLED "SELF-TRADES." THIS PROCEDURE WAS ALSODEFICIENT IN THAT ITS DEFINITION OF"SELF-TRADES" STILL FAILED TOINCLUDE TRADES IN WHICH THERE WAS NO CHANGE IN BENEFICIALOWNERSHIP.THE FIRM HAD EFFECTED AT LEAST 652 TRADES WHERE THERE WAS NOCHANGE IN BENEFICIAL OWNERSHIP.










Resolution:

Other Sanctions Ordered:

Sanction Details: FINRA CONSIDERED THE FIRM'S WRITTEN REPRESENTATIONS DURINGTHE INVESTIGATION THAT IT HAS INSTITUTED SEVERAL UPGRADES TO ITSSUPERVISORY SYSTEM. THE FIRM NOW REQUIRES ALL OF ITS ORDERMANAGEMENT SYSTEMS TO UTILIZE ALL SELF-TRADEPREVENTION MODIFIERS MADE AVAILABLE BY THE MARKETPLACES INWHICH THE FIRM TRADES. THE FIRM HAS INSTITUTED A REAL-TIMESURVEILLANCE TOOL TO IDENTIFY POTENTIAL SELF-TRADESWHERE THERE ARE NO CHANGES OF BENEFICIAL OWNERSHIP,REGARDLESS OF WHETHER THE TRADES ARE EXECUTED ACROSS DESKSOR ITS AFFILIATED COMPANIES. A HEARING OFFICER CONSIDERED ANOFFER OF SETTLEMENT AND CONSENT ENTERED INTO BETWEEN FINRAON BEHALF OF NYSE REGULATION, INC. AND THE FIRM. WITHOUTADMITTING OR DENYING ANY ALLEGATIONS OR FINDINGS, THE FIRM ISCENSURED AND FINED $150,000. THE SANCTIONS SHALL TAKE EFFECTIMMEDIATELY. THE FINE MUST BE PAID WITHIN 30 DAYS OF THE DATE OFTHE DECISION OR THE FIRM MAY FACE SUSPENSION.

Regulator Statement OTHER CASE NUMBER: 13-ARCA-25

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No


Decision & Order of Offer of Settlement

iReporting Source: Firm

Allegations: PURSUANT TO THE OFFER OF CONSENT AND SETTLEMENT OFNOVEMBER 14, 2013, THE APPLICANT WAS FOUND TO HAVE FAILED TOIMPLEMENT AN ADEQUATE SYSTEM OF SUPERVISION, INCLUDING AREASONABLE SYSTEM OF FOLLOW-UP AND REVIEW, DESIGNED TOPREVENT OR DETECT POTENTIALLY VIOLATIVE WASH TRADING ACTIVITYON THE NYSE ARCA MARKETPLACE, RESULTING IN A VIOLATION OF NYSEARCA RULES 6.18(B) AND (C).







Initiated By: NYSE ARCA, INC.


Civil and Administrative Penalt(ies) /Fine(s)


CENSURE


Docket/Case Number: FINRA STAR NO. 20110279134

Principal Product Type: Equity Listed (Common & Preferred Stock)

Other Product Type(s):

PURSUANT TO THE OFFER OF CONSENT AND SETTLEMENT OFNOVEMBER 14, 2013, THE APPLICANT WAS FOUND TO HAVE FAILED TOIMPLEMENT AN ADEQUATE SYSTEM OF SUPERVISION, INCLUDING AREASONABLE SYSTEM OF FOLLOW-UP AND REVIEW, DESIGNED TOPREVENT OR DETECT POTENTIALLY VIOLATIVE WASH TRADING ACTIVITYON THE NYSE ARCA MARKETPLACE, RESULTING IN A VIOLATION OF NYSEARCA RULES 6.18(B) AND (C).


Resolution:

Other Sanctions Ordered:

Sanction Details: PAID FINE OF $150,000 ON NOVEMBER 15, 2013.

Firm Statement THE APPLICANT ENTERED INTO A SETTLEMENT KNOWN AS AN OFFER OFCONSENT AND SETTLEMENT WITH NYSE REGULATION, INC. WITHRESPECT TO SUPERVISORY MATTERS INVOLVING THE DETECTION ANDPREVENTION OF WASH TRADING ACTIVITY ON THE NYSE ARCAMARKETPLACE DURING THE PERIOD FROM MARCH 2010 THROUGH MAY2013. THE MATTER WAS RESOLVED ON NOVEMBER 14, 2013. THEAPPLICANT CONSENTED TO A CENSURE AND PAID A FINE OF $150,000.








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