Cboe Global Markets

Cboe Futures Exchanges Disciplinary Actions

CFE 20-0002 UBS Securities LLC
November 4, 2020
CFE Rule 403 (c)- Audit Trail Data and CFE Rule 502- Inspection and Delivery
CFE-20-0003 Bull Investors Inc.
November 4, 2020
CFE Rule 404A (c) - Trade at Settlement Transactions
CFE- 190005 MNR Executions LLC
April 27, 2020
CFE Rule 414(j)-ECRP's
CFE 20-0001 Morgan Stanley and Co. LLC
April 27, 2020
CFE Rule 602 – Fictitious Transactions
CFE-DD-2020-0006-Merrill Lynch International
January 16, 2020
CFE 19-0006 USFI 554/499 Merrill Lynch International
CFE-DD-2020-0006-Danske Bank
January 16, 2020
CFE 19-0006 USFI 554/499 Danske Bank A/S
CFE-DD-2020-0007--Deutsche Bank Securities Inc
January 16, 2020
CFE 19-0007 USFI 595/498 Deutsche Bank Securities Inc.