All Options Exchanges Disciplinary Actions


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MIAX Pearl DA-2021070475701

Notice of Letter of Consent No. 2021070475701 Apex Clearing Corporation

April 20, 2023

MIAX Pearl DA-2021069249708

Notice of Letter of Consent No. 2021069249708 Susquehanna Securities, LLC

April 20, 2023

MIAX Options DA 2021069249706

Notice of Letter of Consent No. 2021069249706 Susquehanna Securities, LLC

April 20, 2023

MIAX Emerald DA-2021069249707

Notice of Letter of Consent No. 2021069249707 Susquehanna Securities, LLC

April 20, 2023

MIAX Pearl DA-20190610657

Notice of Letter of Consent No. 20190610657 Jefferies LLC
 

November 11, 2022

MIAX Pearl DA-20180580170

Notice of Letter of Consent No. 20180580170 Global Execution Brokers, LP
 

November 11, 2022

MIAX Options DA-2020067200701

Notice of Letter of Consent No. 2020067200701 Credit Suisse Securities (USA) LLC

November 11, 2022

MIAX Options DA-20190610657

Notice of Letter of Consent No. 20190610657 Jefferies LLC
 

November 11, 2022