Cboe Equities Exchanges Disciplinary Actions

File No. URE-12-07/Star No. 20170550870-07; Merrill Lynch, Pierce, Fenner & Smith, Incorporated and BofA Securities, Inc.
September 3, 2024
Letter of Consent; EDGX Rule 5.1 - Written Procedures
File No. URE-32-04/Star No. 20210693303-05; Morgan Stanley & Co. LLC
August 27, 2024
Letter of Consent; EDGX Rules 20.9 - Prohibition on Transactions Off the Exchange and 20.10 - Off-Floor Transfers of Positions
File No. URE-257-07; Goldman Sachs & Co. LLC
August 14, 2024
Letter of Consent; EDGX Rule 3.2 - Violations Prohibited; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-229-07/Star No. 20200671223-12; Jeffrey Tabak
August 6, 2024
Letter of Consent; EDGX Rule 5.1 - Supervision
File No. USRI-7845-07/URE-1-07/Star No. 20180609864-04; SpeedTrader, Inc. (formerly known as Mint Global Markets, Inc.)
July 30, 2024
Letter of Consent; EDGX Rules 3.2 - Violations Prohibited and 5.1 - Written Procedures; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 19345, as amended
File No. URE-128-07/Star No. 20200679577-11; J.P. Morgan Securities LLC
July 30, 2024
Letter of Consent; EDGX 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-302-04
July 22, 2024
Letter of Consent; EDGX Rule 18.1 - 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-264-07; Stifel, Nicolaus & Company, Incorporated
May 16, 2024
Letter of Consent; Exchange Rule 3.2 - Violations Prohibited; Rule 15c3-5 - Risk Management Controls for Brokers or Dealers with Market Access, promulgated under the Securities Exchange Act of 1934, as amended
File No. URE-96-04/Star No. 20200674856-06; BofA Securities, Inc.
April 30, 2024
Letter of Consent; EDGX Rule 5.1 - Written Procedures
File No. URE-98-07/Star No. 20190634995-03; Goldman Sachs & Co. LLC
February 6, 2024
Letter of Consent; EDGX Rule 5.1- Written Procedures