Cboe Futures Exchanges Disciplinary Actions
- File No. URE-298-09; RBC Dominion Securities Inc.
- April 18, 2024
- Letter of Consent; CFE Rule 412B(b) - Ownership and Control Reports and Reportable Positions
- File No. URE-288-09; UBS Securities LLC
- April 11, 2024
- Letter of Consent; CFE Rule 620(b) - Disruptive Practices
- File No. USFI-2059; SG Americas Securities, LLC
- February 21, 2024
- Summary Action; CFE Rule 303A(d) - Order Entry Operator ID
- File No. USFI-1951; Lakeshore Securities LP
- January 18, 2024
- Summary Action; CFE Rule 415(h) - Block Trade Report; CFE Rule 414(k) - Exchange of Contract for Related Position Report