Cboe Equities Exchanges Disciplinary Actions

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