Cboe Equities Exchanges Disciplinary Actions

File No. USE-2333-05/URE-35-05; Star No. 20200651149-03; Belvedere Trading LLC
September 9, 2022
Letter of Consent; BZX Rule 2.5 - Restrictions
File No. USRI-9938-05/URE-21-05; Star No. 20190617027-03; Vision Financial Markets LLC
September 7, 2022
Letter of Consent; BZX Rules 3.2 - Violations Prohibited and 5.1 - Written Procedures; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
File No. USE-2277-03/URE-41-03; Star No. 20190610657-13; Jefferies LLC
September 7, 2022
Letter of Consent; BZX Rules 24.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, 18.1 - Adherence to Law and 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
File No. USRI-8726-03/URE-20-03; Star No. 20180580170-12; Global Execution Brokers, LP
August 16, 2022
Letter of Consent; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access; BZX Rule 3.2 - Violations Prohibited and BZX Rule 5.1 - Written Procedures
File No. USRI-7671-05/URE-9-05; Star No. 20170532102-07; Sagetrader, LLC
July 20, 2022
Letter of Consent; BZX Rule 5.1 - Written Procedures
File No. USRI-8669-05/URE-10-05; Star No. 20190634320-02; HSBC Securities (USA), Inc.
June 17, 2022
Letter of Consent; BZX Rules 3.2 - Violations Prohibited; 5.1 - Written Procedures; and 11.9 - Order and Modifiers; and Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934
File No. USE-2286-05/URE-42-05; Star No. 20190610675-08; Electronic Transaction Clearing, Inc.
May 17, 2022
Letter of Consent; BZX Rule 5.1 - Written Procedures
Star No. 20190614671-01/File No. USRI-9789-03/URE-25-03
May 3, 2022
Letter of Consent No. 20190614671-01/File No. USRI-9789-03/URE-25-03, BNP Paribas Securities Corp.
File No. USE-2251-03/URE-39-03
April 14, 2022
Letter of Consent No. USE-2251-03/URE-39-03, Goldman Sachs & Co. LLC
File No. USRI-9030-05/URE-6-05
April 14, 2022
Letter of Consent No. USRI-9030-05/URE-6-05, Credit Suisse Securities (USA) LLC
File No. USRI-9865-05
March 7, 2022
Letter of Consent No. USRI-9865-05, Credit Suisse Securities (USA) LLC
File No. USRI-9864-05
February 17, 2022
Letter of Consent No. USRI-9864-05, RBC Capital Markets, LLC
File No. USRI-8900-05
January 12, 2022
Letter of Consent No. USRI-8900-05, GTS Securities LLC
Star No. 20170545881-09 | File No. USRI-6851-05
January 3, 2022
Letter of Consent No. 20170545881-09, Jefferies LLC, as successor to Jefferies Execution Services, Inc.