Cboe Options Exchanges Disciplinary Actions

File No. URE-260-01; TJM Investments, LLC and Ronald Myers
July 26, 2024
Letter of Consent; Cboe Rules 5.80(b) - Admission to and Conduct on the Trading Floor; 5.86 - Facilitated and Solicited Transactions; 5.87 - Crossing Orders, 5.91(a) - Floor Broker Responsibilities; 8.1 - Just and Equitable Practices of Trade; and 8.16 - Supervision
File No. URE-302-01; Susquehanna Securities, LLC
July 22, 2024
Letter of Consent; Cboe Rule 8.2 - Adherence to Law; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-316-01; Wolverine Trading, LLC
July 16, 2024
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision
File No. URE-256-01; X-Change Financial Access, LLC
May 13, 2024
Letter of Consent; Cboe Rules 5.91 - Floor Broker Responsibilities and 8.16 - Supervision
File No. URE-250-01/Star No. 20210722138; Hilltop Securities Inc.
May 8, 2024
Letter of Consent; Cboe Rules 8.43 - Reports Related to Position Limits and 8.16 - Supervision
File No. URE-96-01/Star No. 20200674856-03; BofA Securities, Inc.
April 30, 2024
Letter of Consent; Cboe Rules 15.1 and 17.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information, Cboe Rules 4.2 and 8.2 - Adherence to Law, and Cboe Rules 4.24 and 8.16 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-255-01; X-Change Financial Access, LLC
April 5, 2024
Letter of Consent; Cboe Rules 6.1 - Report Transactions to the Exchange and 8.16 - Supervision