Cboe Equities Exchanges Disciplinary Actions

File No. URE-12-08/Star No. 20170550870-06; Merrill Lynch, Pierce, Fenner & Smith, Incorporated and BofA Securities, Inc.
September 3, 2024
Letter of Consent; EDGA Rule 5.1 - Written Procedures
File No. URE-229-08/Star No. 20200671223-09; Jeffrey Tabak
August 6, 2024
Letter of Consent; EDGA Rule 5.1 - Supervision
File No. URE-128-08/Star No. 20200679577-08; J.P. Morgan Securities LLC
July 30, 2024
Letter of Consent; EDGA Rules 3.2 - Violations Prohibited, 5.1 - Written Procedures and 11.8 - Order Types; Rule 611 of Regulation NMS - Order Protection Rule, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-98-08/Star No. 20190634995-04; Goldman Sachs & Co. LLC
February 6, 2024
Letter of Consent; EDGA Rule 5.1- Written Procedures