Cboe Options Exchanges Disciplinary Actions
- File No. USRI-9504-01/URE-27-01; Star No. 20190639291-01; RBC Capital Markets, LLC
- June 7, 2022
- Letter of Consent; Cboe Rules 4.1 and 8.1 - Just and Equitable Principles of Trade and Cboe Rules 6.9 - Solicited Transactions and 5.86 - Facilitated and Solicited Transactions
- File No. USRI-9504-01/URE-27-01; Star No. 20190639291-02; Justin Adam Egan
- June 7, 2022
- Letter of Consent; Cboe Rules 4.1 and 8.1 - Just and Equitable Principles of Trade and Cboe Rules 6.9 - Solicited Transactions and 5.86 - Facilitated and Solicited Transactions
- File No. USE-2362-01/URE-36-01; Star No. 20200652457; Cognitive Capital, LLC
- May 18, 2022
- Letter of Consent; Section 15(c) promulgated under the Exchange Act and Rule 15c3-1 - Net Capital Requirements for Brokers or Dealers thereunder; and Cboe Rules 8.2 - Adherence to Law and 11.1 - Minimum Requirements
- File No. USRI-9345-01/URE-3-01
- May 3, 2022
- Letter of Consent No. USRI-9345-01/URE-3-01, Matrix Executions, LLC
- File No. USE-2251-01/URE-39-01
- April 14, 2022
- Letter of Consent No. USE-2251-01/URE-39-01, Goldman Sachs & Co. LLC
- File No. USE-2308-01 | Star No. 20200664158
- March 25, 2022
- Letter of Consent No. 20200664158, Ronin Capital, LLC
- File No. USRI-9289-01
- February 10, 2022
- Letter of Consent No. USRI-9289-01, Lakeshore Securities, L.P.