Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8018-06 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
File No. USRI-7375-06 | Star No. 20170565048-03
March 30, 2021
Letter of Consent No. 20170565048-03, RBC Capital Markets, LLC
File No. USRI-6745-06 | Star No. 20160515492-02
January 4, 2021
Letter of Consent No. 20160515492-02, GTS Securities LLC