Cboe Equities Exchanges Disciplinary Actions
- File No. USRI-7375-05 | Star No. 20170565048-02
- March 30, 2021
- Letter of Consent No. 20170565048-02, RBC Capital Markets, LLC
- File No. USRI-8986-03 | Star No. 20190629791
- January 27, 2021
- Letter of Consent No. 20190629791, Susquehanna Securities, LLC
- File No. USRI-6745-05 | Star No. 20160515492-01
- January 4, 2021
- Letter of Consent No. 20160515492-01, GTS Securities LLC