Cboe Global Markets

Cboe Options Exchanges Disciplinary Actions

File No. USE-2188-01| Star No. 20190610582-01
July 12, 2021
Letter of Consent No. 20190610582-01, CTC, LLC
File No. USRI-8957-01| Star Nos. 20180602423, 20190643121
July 8, 2021
Letter of Consent Nos. 20180602423, 20190643121, National Financial Services, LLC
File No. USE-2021-01| Star No. 2018057172901
July 8, 2021
Letter of Consent No. 2018057172901, Sumo Capital, LLC
File No. USRI-9058-01
June 17, 2021
Letter of Consent No. USRI-9058-01, Quiet Light Securities, LLC
File No. USE-2301-01 | Star No. 20160513257-01
April 22, 2021
Letter of Consent No. 20160513257-01, Barclays Capital Inc.
File No. USRI-8986-01 | Star No. 20190629791
January 27, 2021
Letter of Consent No. 20190629791, Susquehanna Securities, LLC