Cboe Equities Exchanges Disciplinary Actions
- 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. 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. 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-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.