Cboe Equities Exchanges Disciplinary Actions

File No. URE-264-05; Stifel, Nicolaus & Company, Incorporated
May 16, 2024
Letter of Consent; Exchange Rule 3.2 - Violations Prohibited; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-96-03/Star No. 20200674856-04; BofA Securities, Inc.
April 30, 2024
Letter of Consent; BZX Rule 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, BZX Rule 18.1 - Adherence to Law, and BZX Rule 5.1 - Written Procedures; 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-98-05/Star No. 20190634995-01; Goldman Sachs & Co. LLC
February 6, 2024
Letter of Consent; BZX Rule 5.1- Written Procedures