Cboe Options Exchanges Disciplinary Actions

File No. URE-219-02/Star No. 20220741010-04; Morgan Stanley & Co., LLC
October 21, 2024
Letter of Consent; C2 Rules 1.1(ggg) and 1.1 - Definitions (Professional); 6.9(b) and 5.7(b) - Entry and Cancellation of Orders; 15.1 and 7.1 - Maintenance, Retention and Furnishing of Books, Records and Other Information; 4.2 and 8.2 - Adherence to Law; 4.22 and 8.14 - Communications to the Exchange or the Clearing Corporation; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder
File No. URE-32-02/Star No. 20210693303-04; Morgan Stanley & Co. LLC
August 27, 2024
Letter of Consent; C2 Rules 6.60 - Prohibition on Transactions Off the Exchange and 6.61 - Off-Floor Transfers of Positions
File No. URE-302-02; Susquehanna Securities, LLC
July 22, 2024
Letter of Consent; C2 Rule 8.2 - 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-96-02/Star No. 20200674856-05; BofA Securities, Inc.
April 30, 2024
Letter of Consent; C2 Rules 15.1 and 17.1 incorporated by reference by and through C2 Chapter 8 - Adherence to Law, C2 Rules 4.24 and Cboe Rule 8.16 incorporated by reference by and through C2 Chapter 5, and C2 Rule 8.16 - Supervision; Section- Maintenance, Retention and Furnishing of Books, Records and Other Information, Cboe Rules 4.2 and 8.2 - Adherence to Law, and Cboe Rules 4.24 and 8.16 - Supervision; Section 17(a) of the Exchange Act and Rule 17a-3 - Records to Be Made by Certain Exchange Members, Brokers and Dealers, thereunder