JANE STREET CAPITAL, LLC
Transcript of 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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JANE STREET CAPITAL, LLC
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
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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.
JANE STREET CAPITAL, LLC
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
2©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC
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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
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
EMMET, RICHARD STOCKTON
OPERATING COMMITTEE MEMBER/CEO
Less than 5%
No
Individual
01/2013
Yes
4712665
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Position Start Date
HARRISON, MARIE ELIZABETH
PRINCIPAL FINANCIAL OFFICER
Less than 5%
Individual
10/2018
4621035
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Percentage of Ownership
Is this a public reportingcompany?
Does this owner direct themanagement or policies ofthe firm?
Less than 5%
No
No
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
KULKIN, JOSHUA BEN
OPERATING COMMITTEE MEMBER
Less than 5%
No
Individual
11/2017
Yes
4711626
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
LEHOCZKY, SANDOR GRAHAM
OPERATING COMMITTEE MEMBER
Less than 5%
No
Individual
03/2011
Yes
3231898
Is this a domestic or foreignentity or an individual?
Legal Name & CRD# (if any):
LIU, TIEN-FU
5101440
Legal Name & CRD# (if any):
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Direct Owners and Executive Officers (continued)
Firm Profile
Position
Percentage of Ownership
Is this a public reportingcompany?
Position Start Date
Does this owner direct themanagement or policies ofthe firm?
CHIEF COMPLIANCE OFFICER & PRINCIPAL OPERATIONS OFFICER
Less than 5%
No
Individual
06/2021
Yes
5101440
Is this a domestic or foreignentity or an individual?
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This section provides information relating to any indirect owners of the brokerage firm.
Indirect Owners
Firm Profile
JSHC, LLC
INDIRECT OWNER
JANE STREET GROUP, LLC
50% but less than 75%
No
Domestic Entity
10/2019
Yes
Legal Name & CRD# (if any):
Is this a domestic or foreignentity or an individual?
Company through whichindirect ownership isestablished
Relationship to Direct Owner
Relationship Established
Percentage of Ownership
Does this owner direct themanagement or policies ofthe firm?
Is this a public reportingcompany?
JSHP, LLLP
INDIRECT OWNER
JSHC, LLC
50% but less than 75%
No
Domestic Entity
10/2019
Yes
Legal Name & CRD# (if any):
Is this a domestic or foreignentity or an individual?
Company through whichindirect ownership isestablished
Relationship to Direct Owner
Relationship Established
Percentage of Ownership
Does this owner direct themanagement or policies ofthe firm?
Is this a public reportingcompany?
GRANIERI, ROBERT ANTHONY
Individual
2363949
Legal Name & CRD# (if any):
Is this a domestic or foreignentity or an individual?
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Indirect Owners (continued)
Firm Profile
OPERATING COMMITTEE MEMBER
JANE STREET GROUP, LLC
Other General Partners
No
Individual
01/2014
Yes
Is this a domestic or foreignentity or an individual?
Company through whichindirect ownership isestablished
Relationship to Direct Owner
Relationship Established
Percentage of Ownership
Does this owner direct themanagement or policies ofthe firm?
Is this a public reportingcompany?
JENKINS, MICHAEL ANDREW
OPERATING COMMITTEE MEMBER
JANE STREET GROUP, LLC
Other General Partners
No
Individual
01/2014
Yes
2419091
Legal Name & CRD# (if any):
Is this a domestic or foreignentity or an individual?
Company through whichindirect ownership isestablished
Relationship to Direct Owner
Relationship Established
Percentage of Ownership
Does this owner direct themanagement or policies ofthe firm?
Is this a public reportingcompany?
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Firm History
This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.
No information reported.
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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
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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
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Firm Operations
Registrations (continued)
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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
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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.
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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
Effective Date: 12/15/2014
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
Effective Date: 04/01/2013
Description: MAINTAINING CERTAIN FINANCIAL BOOKS AND RECORDS.
Name: IRON MOUNTAIN INFORMATION MANAGEMENT, INC.
Business Address: 22 KIMBERLY ROADEAST BRUNSWICK, NJ 08816
Effective Date: 06/05/2009
Description: STORAGE OF BOOKS AND RECORDS.
Name: GLOBAL RELAY COMMUNICATIONS INC.
Business Address: 220 CAMBIE STREET2ND FLOORVANCOUVER, CANADA V6B 2M9
Effective Date: 07/31/2009
Description: ARCHIVING OF ELECTRONIC COMMUNICATIONS.
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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
Effective Date: 12/01/2002
Description: ARCHIVES CERTAIN BOOKS AND RECORDS.
Name: THE BANK OF NEW YORK MELLON
Business Address: 385 RIFLE CAMP ROAD6TH FLOORWOODLAND PARK, NJ 07424
Effective Date: 11/18/2019
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
Effective Date: 02/12/2019
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
Effective Date: 02/16/2016
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
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Firm Operations
Industry Arrangements (continued)Business Address: P.O. BOX 43078
PROVIDENCE, RI 02940-3078
Effective Date: 08/12/2013
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
Effective Date: 10/01/2008
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
Effective Date: 02/01/2000
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
Effective Date: 02/09/2009
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
Effective Date: 11/12/2009
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
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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
Effective Date: 11/19/2008
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
Effective Date: 12/08/2009
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
Effective Date: 08/28/2009
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
Effective Date: 11/25/2009
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
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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.
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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:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
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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:
Investment AdvisoryActivities:
Securities Activities:
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:
Investment AdvisoryActivities:
Securities Activities:
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.
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
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Firm Operations
Organization Affiliates (continued)
No
JANE STREET INTERNATIONAL TRADING LTD IS A SISTER COMPANY OFAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.
Description:
Investment AdvisoryActivities:
No
Yes
No
02/22/2013
250 VESEY STREET6TH FLOORNEW YORK, NY 10281
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:
Investment AdvisoryActivities:
Securities Activities:
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:
Investment AdvisoryActivities:
Securities Activities:
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:
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Firm Operations
Organization Affiliates (continued)
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:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
No
Yes
HONG KONG/CHINA
Yes
11/23/2011
15TH FLOOR, CHATER HOUSE8 CONNAUGHT ROAD, CENTRALHONG KONG, CHINA
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:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
No
Yes
HONG KONG/CHINA
Yes
10/12/2010
15TH FLOOR, CHATER HOUSE8 CONNAUGHT ROAD, CENTRALHONG KONG, CHINA
JANE STREET ASIA TRADING LIMITED is under common control with the firm.
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
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Firm Operations
Organization Affiliates (continued)
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
WALKERS CORPORATE SERVICES LIMITEDWALKER HOUSE, 87 MARY STREETGEORGE TOWN, GRAND CAYMAN, CAYMAN ISLANDS KY1-9002
JSGC LIMITED is under common control with the firm.
JSGC LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF THEPARENT COMPANY OF APPLICANT.
Description:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
No
Yes
CAYMAN ISLANDS
Yes
12/10/2008
WALKERS CORPORATE SERVICES LIMITEDWALKER HOUSE, 87 MARY STREETGEORGE TOWN, GRAND CAYMAN, CAYMAN ISLANDS KY1-9002
JSCC LIMITED is controlled by the firm.
JSCC LIMITED IS A WHOLLY OWNED SUBSIDIARY OF JANE STREETCAPITAL, LLC.
Description:
Investment AdvisoryActivities:
Securities Activities:
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:
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Firm Operations
Organization Affiliates (continued)
No
Yes
BRITISH VIRGIN ISLANDS
Yes
JSOIN (BVI) LTD. IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF THEPARENT COMPANY OF APPLICANT.
Description:
Investment AdvisoryActivities:
Securities Activities:
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:
Investment AdvisoryActivities:
Securities Activities:
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:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
250 VESEY STREET5TH FLOORNEW YORK, NY 10281
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
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Firm Operations
Organization Affiliates (continued)
No
Yes
No
04/25/2005
250 VESEY STREET5TH FLOORNEW YORK, NY 10281
JANE STREET GLOBAL TRADING, LLC IS A SISTER COMPANY OF THEAPPLICANT AND HAS THE SAME CORPORATE PARENT AS APPLICANT.
Description:
Investment AdvisoryActivities:
Securities Activities:
Country:
Foreign Entity:
Effective Date:
Business Address:
No
Yes
No
12/20/2004
250 VESEY STREET5TH FLOORNEW YORK, NY 10281
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:
Investment AdvisoryActivities:
Securities Activities:
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
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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
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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
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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)
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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 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: 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.
Current Status: Final
Resolution Date: 05/23/2017
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.
Sanctions Ordered: CensureMonetary/Fine $85,000.00
Acceptance, Waiver & Consent(AWC)
29©2021 FINRA. All rights reserved. Report about JANE STREET CAPITAL, LLC
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 Sanction(s)/ReliefSought:
Date Initiated: 11/14/2013
Docket/Case Number: 2011027913401
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.
Current Status: Final
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Principal Sanction(s)/ReliefSought:
Other Sanction(s)/ReliefSought:
Resolution Date: 11/14/2013
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
Sanctions Ordered: CensureMonetary/Fine $150,000.00
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).
Current Status: Final
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Initiated By: NYSE ARCA, INC.
Principal Sanction(s)/ReliefSought:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanction(s)/ReliefSought:
CENSURE
Date Initiated: 09/26/2011
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 Date: 11/14/2013
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.
Sanctions Ordered: CensureMonetary/Fine $150,000.00
Acceptance, Waiver & Consent(AWC)
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