Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8018-05 | Star No. 20180577360

April 20, 2021

Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.

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