Cboe Options Exchanges Disciplinary Actions

File No. URE-28-01|Star No. 20170562144-01; Jefferies, LLC.
December 12, 2023
Letter of Consent: Cboe Rule 4.24- Supervision
File No. URE-240-01; CTC, LLC.
December 7, 2023
Letter of Consent; Cboe Rules 6.1- Report Transactions to the Exchange and 8.16 - Supervision
File No. URE-228-01/Star No. 20220733055; Instinet, LLC
October 31, 2023
Letter of Consent; Cboe Rules 3.30 - Registration Requirements and 3.31 - Registration Categories
File No. URE-146-01/Star No. 20200685197; Oppenheimer & Co. Inc
September 14, 2023
Letter of Consent; Cboe Rules 4.13 and 8.43 - Reports Related to Position Limits and 4.24 and 8.16 - Supervision
File No. URE-145-01; Susquehanna Securities, LLC
August 1, 2023
Letter of Consent; Cboe Rules 5.30 - Availability of Orders and Quotes for Electronic Processing; 5.33 - Complex Orders; 5.86(e) - Facilitated and Solicited Transactions; 5.9 - Order Exposure; 8.1 - Just and Equitable Principles of Trade; and 8.16 - Supervision
File No. URE-207-01; Sumo Capital, LLC
June 29, 2023
Letter of Consent; Cboe Rule 5.52 - Market-Maker Quotes
Star No. 20200660058/File No. URE-31-01; CIBC World Markets Corp.
May 9, 2023
Letter of Consent; Cboe Exchange Rules 4.2 - Rights and Obligations of Holders and Writers, 5.12 - Transactions Off the Exchange, 8.1 - Just and Equitable Principles of Trade, 8.2 - Adherence to Law, and 8.16 - Supervision; and OCC By-Laws Article VI, Section 1 - General Clearance Rule
File No. URE-153-01; Belvedere Trading LLC
May 2, 2023
Letter of Consent; Cboe Rules 8.2 - Adherence to Law and 8.16 - Supervision; Rule 14e-4 - Prohibited Transactions in Connection with Partial Tender Offers, promulgated under the Securities Exchange Act of 1934, as amended
Star No. 20190643117/File No. URE-22-01; Wells Fargo Securities, LLC
April 5, 2023
Letter of Consent; Cboe Rules 4.13 and 8.43 - Reports Related to Position Limits
Star No. 20210692497-01, File No. URE-73-01; Susquehanna Securities, LLC
March 6, 2023
Letter of Consent; Cboe Rule 8.30 - Position Limits
File No. URE-141-01; All Rise Trading LLC
February 28, 2023
Letter of Consent; Cboe Rule 5.66 - Order Protection; Cboe Rule 5.85 - Order and Quote Allocation, Priority and Execution; Cboe Rule 5.91 - Floor Broker Responsibilities
File No. URE-108-01; Dash Financial Technologies LLC
February 22, 2023
Letter of Consent; Cboe Rules 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information and 8.16 - Supervision
File No. URE-126-01; Dash Financial Technologies LLC
February 14, 2023
Letter of Consent; Cboe Rules 4.4 - Withdrawal of Approval of Underlying Securities, 8.1 - Just and Equitable Principles of Trade, and 8.16 - Supervision