NYSE Reg disciplines three firms

J&D Securities was fined $75,000 for withdrawing more than 30% of a firm's excess net capital without giving regulators notice.

NYSE Regulation Inc., the regulatory body of the New York Stock Exchange, has fined and censured three of its member firms.
The regulator fined J&D Securities LLC of New York $75,000 for withdrawing more than 30% of a firm’s excess net capital without providing regulators with prior notice.
The trading firm was also accused of filing inaccurate trading reports and charging commissions different from those on negotiated rate lists, among other violations.
ATP Trading LLC of New York was fined $50,000 for violating Regulation SHO and NYSE Arca rules.
The regulator accused the firm of making short trades between February and March 2006 that were incorrectly marked “short-exempt,” resulting in the trades’ being improperly exempted from the “tick test” required by NYSE Arca and federal securities rules.
Deutsche Bank Securities Inc. of New York was fined $35,000 for breaking two exchange rules related to not filing accurate daily trade reports and introducing index arbitrage orders with appropriate restrictions when trading curbs were in place.
Each of the companies agreed to the penalties without admitting or denying any guilt.