Virtu Americas was fined $675,000 for failing to reasonably document certain risk management controls designed to prevent the entry of erroneous orders.

Nomura Securities International was fined $625,000 for violating Rule 200(f) of Regulation SHO by including securities positions of two affiliates when calculating the net positions of an independent trading unit.

Piper Sandler & Co. was fined $95,000 due publishing public quarterly reports on its handling of customers’ orders in NMS securities that overstated statistical information related to options orders.

SG Americas Securities was fined $90,000 for violating Rule 606(a) of Regulation National Market System (NMS) due to publishing seven inaccurate quarterly reports on its handling of customers' orders in NMS securities.

Interactive Brokers LLC was fined $150,000 for violating Rule 603(c) of Regulation NMS by failing to provide certain of its customers with a consolidated display containing all required market data elements at the point of order entry on its trading platforms.

CIBC World Markets Corp. was fined $425,000 for failing to report, or inaccurately reported, over-the-counter (OTC) options positions to the Large Options Positions Reporting (LOPR) system.

BofA Securities, Inc. was fined a total of $450,000 for failing to prevent trade-throughs of protected quotations in NMS stocks resulting from system issues and assure that its intermarket sweep orders (ISOs) complied with Regulation NMS.

Velocity Clearing was fined a total of $1,000,000 for failing to establish, maintain, and enforce a supervisory system, including WSPs, reasonably designed to achieve compliance with rules prohibiting manipulative trading activity by its customers.

Velox Clearing LLC was fined $1,300,000 for failing to establish and implement an AML program that can be reasonably expected to detect and cause the reporting of suspicious transactions of its high-risk customer base and those customers’ trading in volatile low-priced securities.

Barclays Capital Inc. was fined a total of $2,250,000 for failing to establish and maintain a supervisory system and regulatory risk management controls reasonably designed to monitor for potential layering and spoofing of options.

Open to the Public Investing, Inc. was fined $350,000 for paying individuals with followings on social media sites to promote the firm in social media communications, some of which included statements that were not fair and balanced or made claims that were misleading or unwarranted.

BTG Pactual US Capital was fined $400,000 for failing to establish and implement policies and procedures for its anti-money laundering (AML) compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions.

Goldman Sachs & Co. was fined $1,450,000 for failing to accurately report data to the Consolidated Audit Trail (CAT) Central Repository for 36.6 billion order events and failed to reasonably supervise its compliance with its CAT reporting obligations.

Webull Financial was fined $1,600,000 for failing to establish, maintain, and enforce a reasonably designed supervisory system for social media communications promoting the firm.

TradeUp Securities, Inc. was fined $700,000 and affiliate US Tiger Securities, Inc. (US Tiger) was fined $250,000 for failing to develop and implement reasonably designed AML programs to detect and report potentially suspicious transactions.

Speedroute LLC was fined a total of $300,000 for failing to establish, document, and maintain risk management controls and supervisory procedures reasonably designed to manage the risks associated with its market access activity.

TP ICAP Global Markets Americas was fined a total of $80,000 for failing to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA rules prohibiting potentially manipulative trading.

Tigress Financial Partners was fined $100,000 for lacking an AML program reasonably designed to detect and report suspicious transactions.

Sanctuary Securities was fined $150,000 for failing to develop and implement an AML program reasonably designed to detect and cause the reporting of suspicious transactions.

Redbridge Securities was fined $475,000 for failing to establish and implement an AML compliance program reasonably designed to detect and cause the reporting of suspicious transactions by the firm’s customers, including potentially manipulative trading.