Cboe Global Markets

Cboe Equities Exchanges Disciplinary Actions

File No. USRI-8929-04
May 4, 2021
Letter of Consent File No. USRI-8929-04, Dash Financial Technologies, INC.
File Nos. USRI-9064-04 and USRI-8152-04
May 4, 2021
Letter of Consent No. 20180610167, Global Execution Brokers, LP
File No. USRI-8018-07 | Star No. 20180577360
April 20, 2021
Letter of Consent No. 20180577360, HSBC Securities (USA) Inc.
USRI-7659-07 | Star No. 20130386840-04
March 30, 2021
Letter of Consent No. 20130386840-04, Merrill Lynch, Pierce, Fenner & Smith Incorporated
File No. USRI-7375-07 | Star No. 20170565048-04
March 30, 2021
Letter of Consent No. 20170565048-04, RBC Capital Markets, LLC
File No. USRI-8986-04 | Star No. 20190629791
January 27, 2021
Letter of Consent No. 20190629791, Susquehanna Securities, LLC
File No. USRI-6745-07 | Star No. 20160515492-04
January 4, 2021
Letter of Consent No. 20160515492-04, GTS Securities LLC