Cboe Options Exchanges Disciplinary Actions

File No. URE-219-01/Star No. 20220741010-03; Morgan Stanley & Co., LLC
October 18, 2024
Letter of Consent; Cboe Rules 1.1(ggg) and 1.1 - Definitions (Professional); 5.7(b) - Entry of Orders and Quotes; 6.51 - Reporting Duties and 6.1 - Report Transactions to the Exchange; 15.1 and 17.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information; 4.2 and 8.2 - Adherence to Law; and 4.22 and 8/14 - Communications to the Exchange or the Clearing Corporation; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-326-01; Susquehanna Securities, LLC
September 13, 2024
Letter of Consent; Cboe Rule 6.1 - Report Transactions to the Exchange and Cboe Rule 8.16 - Supervision
File No. URE-32-01/Star No. 20210693303-02; Morgan Stanley & Co. LLC
August 27, 2024
Letter of Consent; Cboe Rules 5.12 - Transactions Off the Exchange, 6.7 - Off-Floor Transfers of Positions, 8.2 - Adherence to Law, 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 8.16 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers thereunder
File No. URE-185-01/Star No. 20220733143-01; Belvedere Trading LLC
August 27, 2024
Letter of Consent; Cboe Rules 8.2 - Adherence to Law and 8.16 - Supervision; and Rule 204 - Close-out Requirement of Regulation SHO, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-119-01/Star No. 20200675967-01; Barclays Capital Inc.
August 7, 2024
Letter of Consent; Cboe Rules 15.1 and 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 4.2 and 8.2 - Adherence to Law, and 4.24 and 8.16 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-260-01; TJM Investments, LLC and Ronald Myers
July 26, 2024
Letter of Consent; Cboe Rules 5.80(b) - Admission to and Conduct on the Trading Floor; 5.86 - Facilitated and Solicited Transactions; 5.87 - Crossing Orders, 5.91(a) - Floor Broker Responsibilities; 8.1 - Just and Equitable Practices of Trade; and 8.16 - Supervision
File No. URE-302-01; Susquehanna Securities, LLC
July 22, 2024
Letter of Consent; Cboe Rule 8.2 - Adherence to Law; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-316-01; Wolverine Trading, LLC
July 16, 2024
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision
File No. URE-256-01; X-Change Financial Access, LLC
May 13, 2024
Letter of Consent; Cboe Rules 5.91 - Floor Broker Responsibilities and 8.16 - Supervision
File No. URE-250-01/Star No. 20210722138; Hilltop Securities Inc.
May 8, 2024
Letter of Consent; Cboe Rules 8.43 - Reports Related to Position Limits and 8.16 - Supervision
File No. URE-96-01/Star No. 20200674856-03; BofA Securities, Inc.
April 30, 2024
Letter of Consent; Cboe Rules 15.1 and 17.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, Cboe Rules 4.2 and 8.2 - Adherence to Law, and Cboe Rules 4.24 and 8.16 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-255-01; X-Change Financial Access, LLC
April 5, 2024
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision