All Options Exchanges Disciplinary Actions
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
MIAX Options DA-20180580170
Notice of Letter of Consent No. 20180580170 Global Execution Brokers, LP
November 11, 2022
MIAX Pearl DA 20190611843
Notice of Letter of Consent No. 20190611843 Dash Financial Technologies, LLC
June 23, 2022
MIAX Pearl DA 20190610611
Notice of Letter of Consent No. 20190610611 Goldman Sachs & Co. LLC
June 23, 2022
MIAX Pearl DA 20180601179
Notice of Letter of Consent No. 20180601179 Dash Financial Technologies, LLC
June 23, 2022
MIAX Options DA 20190611843
Notice of Letter of Consent No. 20190611843 Dash Financial Technologies, LLC
June 23, 2022
MIAX Options DA 20190610611
Notice of Letter of Consent No. 20190610611 Goldman Sachs & Co. LLC
June 23, 2022