Cboe Options Exchanges Disciplinary Actions
- 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