Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8018-08 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
File No. USRI-7659-08 | Star No. 20130386840-05
March 30, 2021
Letter of Consent No. 20130386840-05, Merrill Lynch, Pierce, Fenner & Smith Incorporated
File No. USRI-7375-08 | Star No. 20170565048-01
March 30, 2021
Letter of Consent No. 20170565048-01, RBC Capital Markets, LLC
File No. USRI-6745-08 | Star No. 20160515492-03
January 4, 2021
Letter of Consent No. 20160515492-03, GTS Securities LLC