Cboe Equities Exchanges Disciplinary Actions

File No. URE-105-05/Star No. 20210693220-12; Electronic Transaction Clearing, Inc.
October 20, 2023
Letter of Consent; BZX Rules 2.5 - Restrictions and 5.1 - Written Procedures
File No. URE-180-05; Cowen and Company, LLC
September 13, 2023
Letter of Consent; BZX Rule 3.2 - Violations Prohibited; Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
File No. URE-14-05/Star No. 20170556575-07; Electronic Transaction Clearing, Inc.
September 11, 2023
Letter of Consent; BZX Rules 3.2 - Violations Prohibited and 5.1 - Written Procedures; 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-164-05/Star No. 20220770603; Critical Trading, LLC
August 23, 2023
Letter of Consent; BZX Rules 11.19(a) - Short Sales, 11.21 - Input of Accurate Information, 3.2 - Violations Prohibited, 4.1 - Requirements, 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; and Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
File No. URE-95-03/Star No. 20200664843; Goldman Sachs & Co., LLC
August 15, 2023
Letter of Consent; Cboe BZX Rules 18.10 - Reports Related to Position Limits and 5.1 - Written Procedures
File No. URE-26-05/Star No. 20200654658-07; Instinet, LLC
July 25, 2023
Letter of Consent; BZX Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures, and 11.9(d) - Orders and Modifiers, Intermarket Sweep Orders; Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934, as amended.
Star No. 20200666621/File No. URE-17-05; Clearpool Execution Services, LLC
May 8, 2023
Letter of Consent; BZX Rules 3.2 - Violations Prohibited; 5.1 - Written Procedures; 11.9 - Orders and Modifiers; and 11.20 - Locking or Crossing Quotations in NMS Stocks; Rule 611(c) of Regulation NMS - Order Protection Rule and Rule 15c3-5 - Risk Management Controls for Brokers and Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended.
File No. URE-153-03; Belvedere Trading LLC
May 2, 2023
Letter of Consent; BZX Rules 18.1 - Adherence to Law and 5.1 - Written Procedures; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
Star No. 20180591465-08/File No. URE-40-05; Goldman Sachs & Co. LLC
April 3, 2023
Letter of Consent; BZX Rules 11.19(a) - Short Sales; 3.2 - Violations Prohibited; 4.1 - Requirements; 5.1 - Written Procedures; Section 17(a) of the Exchange Act and Exchange Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers; and Exchange Act Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access
Star No. 20210692497-03, File No. URE-73-03; Susquehanna Securities, LLC
March 6, 2023
Letter of Consent; BZX Rules 18.7 - Position Limits and 18.8 - Exemptions from Position Limits
File No. USRI-9023-05/URE-19-05; Star No. 20170544910-03; Wedbush Securities Inc.
January 20, 2023
Letter of Consent; BZX Rule 5.1 - Written Procedures