
The Financial Industry Regulatory Authority fined Goldman Sachs Execution & Clearing, L.P. $800,000 For failing to have reasonably designed written policies and procedures in place to prevent trade-throughs of protected quotations in NMS stocks from November 2008 through August 2011 in connection with trading in its proprietary alternative trading system, SIGMA-X. For more info visit https://www.finra.org/media-center/news-releases/2014/finra-fines-goldman-sachs-execution-clearing-lp-800000-failing-prevent