Cboe Options Exchanges Disciplinary Actions

Star No. 20200660058/File No. URE-31-01; CIBC World Markets Corp.: May 9, 2023; Letter of Consent; Cboe Exchange Rules 4.2 - Rights and Obligations of Holders and Writers, 5.12 - Transactions Off the Exchange, 8.1 - Just and Equitable Principles of Trade, 8.2 - Adherence to Law, and 8.16 - Supervision; and OCC By-Laws Article VI, Section 1 - General Clearance Rule
File No. URE-153-01; Belvedere Trading LLC: May 2, 2023; Letter of Consent; Cboe Rules 8.2 - Adherence to Law and 8.16 - Supervision; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
Star No. 20190643117/File No. URE-22-01; Wells Fargo Securities, LLC: April 5, 2023; Letter of Consent; Cboe Rules 4.13 and 8.43 - Reports Related to Position Limits
Star No. 20210692497-01, File No. URE-73-01; Susquehanna Securities, LLC: March 6, 2023; Letter of Consent; Cboe Rule 8.30 - Position Limits
File No. URE-141-01; All Rise Trading LLC: February 28, 2023; Letter of Consent; Cboe Rule 5.66 - Order Protection; Cboe Rule 5.85 - Order and Quote Allocation, Priority and Execution; Cboe Rule 5.91 - Floor Broker Responsibilities
File No. URE-108-01; Dash Financial Technologies LLC: February 22, 2023; Letter of Consent; Cboe Rules 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information and 8.16 - Supervision
File No. URE-126-01; Dash Financial Technologies LLC: February 14, 2023; Letter of Consent; Cboe Rules 4.4 - Withdrawal of Approval of Underlying Securities, 8.1 - Just and Equitable Principles of Trade, and 8.16 - Supervision