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JPMorgan Chase unit to pay $2.75 million to settle US SEC charges of operating as unregistered broker-dealer

( June 29, 2021, 14:57 GMT | Official Statement) -- MLex Summary: JPMorgan Chase unit Neovest, an electronic trading platform, agreed to pay $2.75 million to settle US Securities and Exchange Commission charges that it failed to register as a broker-dealer after its acquisition by the banking giant. The case is the SEC’s first alleging that an order and execution management system that facilitates electronic trading failed to register as a broker-dealer.Statement and document follow below:...

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